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Conferences & Events
COVID-19: A Message From FINRA
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA…
Disciplinary Action Report
July 15, 2021
Monthly Disciplinary Actions - July 2021
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal…
About FINRA
Advisory Committees
FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. More than 160 industry members and 35 non-industry members serve on these committees. The advisory…
Events & Training
September 10, 2020
FINRA Diversity Leadership Summit
COVID-19: A Message from FINRA
In response to the coronavirus disease 2019 (COVID-19) situation, FINRA has postponed the 2020 Diversity Leadership Summit. We will notify confirmed registrants as soon as FINRA has identified a new date for the Summit (which will likely be this fall). We apologize for any disappointment or inconvenience this necessary decision causes.
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September 28 –…
Filing and Reporting
August 17, 2015
eFOCUS - Financial and Operational Combined Uniform Single Reports
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA…
Technical Documentation
February 3, 2021
TRACE Monthly Volume Report for 2021
June
Total Trades
Total Par Value (000s)
Average
Daily Trades
Average Daily
Par Value (000s)
CORP
1,461,628
849,502,300
66,438
38,613,741
CONV
35,208
41,588,…
Qualification Exam
Securities Industry Essentials® (SIE®) Exam Information for Students
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Your First Step to a Career in the Securities Industry
The Security Industry Essentials® (SIE®)…
Guidance
New FINRA Account Management System
The new FINRA Account Management System that firm administrators use to manage access to FINRA applications will be available August 1, 2021. The…
Technical Documentation
February 10, 2017
Entitlement Program
The FINRA Entitlement Program provides a secure way for firms to access many of the web-based applications, materials and services they use with a single user ID and password.
New FINRA Account Management System…
The Alert Investor
December 7, 2016
A Piece By Piece Guide To Stock Splits
December 07, 2016
Alert Investor Staff
There…