Terms and acronyms candidates may encounter in FINRA qualification exams.
The Neutral Corner - Volume 2—2022
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. 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 transactions should
In preparation for the dissemination of transaction level data in On-the-Run U.S. Treasury nominal coupons (see Regulatory Notice 24-06), we have updated the Non-Real-Time TRACE Data Agreement and Enhanced Historic Data Agreements.
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.
FINRA DRS is committed to providing training and resources to arbitrators on how to use
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 3110
FINRA Rule 5310
MSRB Regulatory Notice 2014-02
Notice to Members 06-58
Notice to Members 01-22
Notice to Members 99-12
Notice to Members 97-57
Rule 605 of SEC Regulation NMS
Rule 606
ACTION REQUIRED
Fee-Based Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Charges for Services Performed
Fee-Based Compensation
NASD Rule 2110
NASD Rule 2430
Executive Summary
Fee-based programs typically charge a customer a fixed fee or percentage of assets
To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
