Use FINRA Gateway Reports to pull up a list of individuals at your firm who have a particular Series exam.
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
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FINRA is a not-for-profit, self-regulatory organization dedicated to investor protection and market integrity. Learn how our structure and operations safeguard investors.Regulatory OperationsProtecting investors and safeguarding markets requires constant vigilance
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As of June 20, 1997, the following bonds were added to the Fixed Income
FINRA reminds clients that effective Monday, August 20, 2018, validations will be applied to the OTC Trade Reporting Facility (ORF) and the Alternative Display Facility (ADF) for equity transactions submitted with the Short Sale Indicator.
A Short Sale Indicator may be submitted only on trades that meet the following conditions:
on sell side trades to indicate if the executing party is
The FINRA/Nasdaq TRF1 is currently experiencing an issue which is causing rejects from the FINRA/Nasdaq TRF Carteret. Please refer to the Nasdaq Trader notice posted relating to this problem.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
The earlier issue which affected The FINRA/Nasdaq TRF1 Carteret has been resolved. Please refer to the Nasdaq Trader notice posting relating to this problem and its status.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
Buying and selling securities is actually very easy, thanks in large part to technology. It almost seems like you’re doing the buying and selling yourself, but a brokerage firm is. Any time you buy or sell securities you typically must first open a brokerage account.
