FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Have you thought about taking steps to improve your financial health? The new year is a great time to check on your investments, revisit your budget, and improve your overall financial wellness. Read on for six tips to boost your financial savvy for the year ahead.
In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential supervisory
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
If you’re interested in over-the-counter (OTC) trading, you might have heard about dark pools, a type of alternative trading system (ATS) that was designed to handle large trades for institutional investors anonymously. Dark pools allow large buyers and sellers to trade large blocks of shares without causing the market to move against them.
Conflicts of interest represent a recurring challenge that contributes to compliance and supervisory breakdowns. These breakdowns can compromise the quality of service that firms and representatives provide to their clients. We issued the Report on Conflicts of Interest in October 2013, and FINRA continues to monitor the efforts employed by firms to identify, mitigate
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
