Displaying 11 - 20 of 6748 Results
Terms and acronyms candidates may encounter in FINRA qualification exams.
It is important to "Ask and Check" about investments and investment professionals before you invest. Regardless of your trust or ties, or prior dealings with the professional, do your homework.
As part of the registration / licensing process, FINRA administers examinations on which you must demonstrate proficiency in the areas in which you will work, prior to engaging in the activity
Firms involved in mergers, acquisitions, asset transfers (which may include but is not limited to registered representatives and customer accounts) and other operational changes must attend to various regulatory and investor-protection obligations.
FINRA encourages firms, and in some cases requires them, to notify their FINRA coordinator when planning these changes. By discussing these proposals
As previously announced, on Monday, April 27, 2015, FINRA will implement technical changes across all of its TRACE data feeds (BTDS, BTDS-144A, ATDS and SPDS). TRACE fixed income market data consumers must accommodate the data feed technical format changes described in each dissemination product specification by April 27, 2015 to continue to receive TRACE transactions. FINRA is also modifying
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
FINRA announced today that it has expelled New York-based Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief Compliance Officer Ronald Heineman from the securities industry, for fraud, sales practice abuses, and widespread supervisory and anti-money laundering failures.