Create a Tennessee Tax Template for your firm by logging in to FINRA Gateway, clicking on the Reports tab, and selecting the Active Individuals Roster. You can find the Active Individuals Roster by using the search bar or browsing to Templates and choosing the Individual category.After completing the steps detailed on this page, you
SEC Approval and Effective Date for New Consolidated FINRA Rules
Nominee for Vacant FINRA Board of Governors Small Firm Seat
(a) Except as provided in paragraph (b), no member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer unless, prior to opening the account, the member has furnished to each customer, individually, in paper or electronic form, the disclosure statement specified in this paragraph (a). In addition, any member
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1983. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
Trade
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
08-52 - SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
