The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
If you’re one of the millions of Americans expecting a tax refund, take a minute before you rush and spend that found money. Here are six ways you can use your refund to help you improve your financial status in the long run.
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Request for TRACE Reporting Exemption Under FINRA Rule 6732
Reserved MPIDBank NameTreasury (TS)Agency Debt (CA) & Agency MBS (SP)BACPBank of America, N.A. (Private Bank)xxBACTBank of America, N.A. (Corporate Treasury)xxBAGMBank of America, N.A.xxBMCHBank of Montreal, Chicago BranchxxBNYBBank of New York MellonxxBNSABank of Nova Scotiax BOKCBOKF, NAxxCASACredit Agricole CIBx CBKCCommerce Bankx CBNYCitibank, N.A.xxDBNYDBNY
