The Series 30 exam—the NFA Branch Managers Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 34 exam—the Retail Off-Exchange Forex Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 31 exam—the Futures Managed Funds Examination—is a National Futures Association (NFA) exam administered by FINRA.
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
1/ Synthetic short positions should be included in short interest reports. 2/ REGSHO- information of allocations of FTD's should definately be updated. daily report of FTD's should be mandatory.3/Publication of short interest for Exchange listed Equity securities to include both OTC & Exchange should also be implemented. 4/ Rule 4560-Loan obligations regarding short position
Hedge funds, corporations, and other institutions have information and resources far beyond what the retail investor can access. Not only are these entities over leveraged compared to retail, some use their advantages to break laws and/or tilt the market in their favor. Incorrect marking of a position as long when their short. Continuous fail to delivers because of naked shorting. Trading in dark
FINRA Filing Requirements and Review of Regulation A Offerings
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products (SP) to a new Linux-based operating system. As a reminder, FINRA requires client testing participation in this effort to validate that all processes work within the TRACE reporting framework. TRACE clients who utilize FIX for SP trade entry and other
(a) Supervisory System
(1) Each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the Funding Portal Rules. A funding portal member's supervisory system shall provide, at a minimum, for
