Displaying 91 - 100 of 11864 Results
Test Center Security Guidelines (Personal Items)
Required information, personal items allowed and test-center provided aids for Pearson VUE and Thomson Prometric test sites.
What Are Corporate Spinoffs and How Do They Impact Investors?
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.
The Security Traders Association of New York Comments on Notice 05-61
5230. Payments Involving Publications that Influence the Market Price of a Security
(a) Except as provided in paragraph (b), no member shall, directly or indirectly, give, permit to be given, or offer to give, anything of value to any person for the purpose of influencing or rewarding the action of such person in connection with the publication or circulation in any electronic or other public media, including any investment service or similar publication, Web site, newspaper
Outside Business Activities and Private Securities Transactions
The Outside Business Activities and Private Securities Transactions topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
Asset-Backed Security (ABS) Trade Activity
This data provides trade activity for Asset-Backed Securities for up to ten years using end-of-day data. Access up to three rolling-years of real-time transaction data from the Trade History link on an individual security page. Published for non-commerical use. Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black
Update - ORF Transactions
FINRA has resolved the issue with ORF transaction messages delivered via FIX and TRAQS. The issue was caused by a trade processor experiencing systemic disruption, resulting in queueing of transaction reports in certain symbols. All queued messages have been processed, and no further action is needed from firms. Contact FINRA Market Operations with questions regarding this notice.
Update - ORF Transactions
FINRA is currently experiencing an issue with ORF transaction messages delivered via FIX and TRAQS. ORF clients should not resend any transactions previously submitted today. FINRA is working on a solution and will update clients as more details are known. Contact FINRA Market Operations with questions regarding this notice.
TRACE Security Activity Report (TSAR) File Layout
Position Field Long Name Description 1 Security For CUSIP version. Security Identifier assigned by Standard & Poors 2 Symbol TRACE Symbol as defined by FINRA 3 BB Symbol Bloomberg Identifier 4 Issuer Name Issuer
11170. Transactions in "Part-Redeemed" Bonds
In transactions in bonds which have been redeemed or paid in part, such bonds shall be designated as "part-redeemed" bonds. The settlement price of contracts in "part-redeemed" bonds shall be determined by multiplying the contract price by the original principal amount thereof and contracts shall be made on the same basis. Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.