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Yield is a general term that relates to the return on the capital you invest in a bond. Price and yield are inversely related: As the price of a bond goes up, its yield goes down, and vice versa. There are several definitions that are important to understand when talking about yield as it relates to bonds: coupon yield, current yield, yield-to-maturity, yield-to-call and yield-to-worst.
Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule
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FINRA may grant waivers, in exceptional cases, or exemptions for qualification exams, pursuant to FINRA Rule 1210.3, FINRA Rule 1220 and Rule 9600 Series, and accept other standards as evidence of an applicant’s qualification for registration, such as experience in the securities industry, educational achievement, or qualification by a specified foreign entity. FINRA may also consider an
In FINRA arbitration, the majority of customer cases – approximately 69% – result in settlements reached by the parties. Typically, appoximately 18% of all cases proceed to award. For more information on how cases close, view the dispute resolution statistics.
Settlement – The vast majority of settlements result in monetary relief for the customer claimant.
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
The following links should be helpful when filing online for your firm and associated individuals:
CRD System and Related Links
Electronic Fingerprint Processing
Electronic Fingerprint Submission (EFS)
Filing Guidance Related to Registration Forms
Current Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)
Investment Adviser Representative (RA) Form Filing
Small Firm Advisory Committee Elections
The Small Firm Advisory Committee (SFAC) election kicks off in early September. FINRA publishes an Election Notice announcing vacancies on the SFAC and the process for candidates in the five geographical FINRA regions—North, South, Midwest, West and New York—to have his or her name added to the ballot. A spot on the SFAC for your region will be available
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker/dealer books and records rules.
n the event a Vendor misses transmission of TRACE data and would like to request retransmission, please follow the steps outlined on this page. Note: Only existing vendors can request retransmission of TRACE data.