FINRA’s Office of Financial Innovation (OFI) is the central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology (FinTech).
SEC Regulation Best Interest sets forth the standard of conduct broker-dealers must provide to their retail customers when they make recommendations of securities or investment strategies involving securities. Form CRS is a relationship summary disclosure that broker-dealers and SEC-registered investment advisers must provide retail investors.
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day, week or month. The weekly format was discontinued as of February 2023; weekly format history is available.Treasury Daily Aggregate StatisticsTrading volume in US Treasury Securities reported to TRACE for the prior day.Treasury Monthly Aggregate StatisticsTrading volume in US Treasury Securities
(a) Notice of Suspension, Cancellation or Bar(1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200, 9300 or 9800 Series, FINRA staff, after receiving written authorization from FINRA's Chief Executive Officer or such other senior officer as the Chief
In April 2021, FINRA published Regulatory Notice21-17 seeking feedback on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry.
Fixed Income Data Glossary is organized by security type and trade activity.Corporate and Agency Bond DataAsset-Backed Security (ABS) DataBond Market ActivityBond Market SentimentCollatoralized Mortgage Obligation (CMO) DataMortgage-Backed Security (MBS) DataTo-Be-Announced (TBA) DataTrade Activity DataTreasury Aggregate DataTreasury Securities Data Treasury Security Trade
From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
