The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 60 scored questions and 5 unscored questions. Candidates have 75 minutes to complete the exam. In order for a candidate to pass the Series 63 exam, they must correctly answer at least 43 of the 60 scored questions.For
Summary
FINRA has amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same timestamp granularity that they use when reporting to the Consolidated Audit Trail (CAT). Once the amendments are effective, firms that report time on CAT order execution events in increments finer than milliseconds
Tuesday, March 29
All times are listed in Eastern Time
8:30 a.m. – 4:30 p.m. Registration and Cybersecurity Solutions & Cloud Computing Exhibitors
8:30 a.m. – 10:00 a.m.  
The Series 24 exam — the General Securities Principal Qualification Exam (GP) — assesses the competency of an entry-level principal to perform their job as a principal dependent on their corequisite registrations.
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is implementing enhancements to the FINRA equity trade reporting facilities1 to support the reporting of fractional share quantities. These enhancements are being made in coordination with the Unlisted Trading Privileges (UTP) and Consolidated Tape Association (CTA) Securities Information Processors (SIPs) to
Every broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934 (SEA) is required to file an annual report as specified under SEA Rule 17a-5(d). Members must submit their annual reports to FINRA in electronic form through FINRA’s Firm Gateway. See below for further information on FINRA Firm Gateway.
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
Investors shouldn't have to go through any special process like passing a test before they can invest in public securities, including "complex products". The disclosure-based system currently in place provides adequate protections.
All definitions and language in regulations should be clear, precise and limiting. Wording that is broad, arbitrary or vague empowers
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
