(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
1. What is meant by a "Queue?"
A Queue is an online electronic listing...
Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.
Submit Form BR requesting registration of at least one branch office location. Learn more about branches on the Manage a Branch Office Registration page.
Request principal registration for at least two
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Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc
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Executive Summary
In the following document, the National Association of
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Effective June 1, 2020, members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction with an appropriate identifier. Members will have additional time to report such transactions—until the next business day during TRACE system hours. The rule text is available in the online FINRA Manual.
Questions regarding this Notice should be directed to
On June 25, 2024, Progress Software released the MOVEit Transfer Critical Security Alert Bulletin (the Alert Bulletin) for CVE-2024-5806, a newly identified Critical Vulnerability, which was described as an Improper Authentication vulnerability in MOVEit Transfer, Secure File Transfer Protocol (SFTP) module and could lead to Authentication Bypass.
The Best Execution topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
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