For updates and guidance related to COVID-19 / Coronavirus, click here.

Displaying 11041 - 11050 of 11074 Results
Investor Education
Corporate Actions by Public Companies—What You Should Know
December 28, 2017
Investing Corporate Actions by Public Companies—What You Should Know December 28, 2017 Erika Karell…
Article
Funding and Liquidity
Funding and Liquidity Overview Rules Notices Guidance News Releases Investor Education…
Technical Notice
fileX API Restrict to TLS v1.2
February 1, 2021
Technical NoticefileX API Restrict to TLS v1.2February 01, 2021 Starting 2/27/2021, FINRA fileX File Transfer API’s can only be used with TLS protocol v1.2. Any API calls made with less than TLS v1.2 will not be allowed. Please review…
Filing and Reporting
Regulation NMS
Regulation NMS Overview Rules Notices Guidance News Releases Investor Education…
Filing and Reporting
Rule 4530 Reporting Requirements
June 6, 2019
Rule 4530 Reporting Requirements FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA…
Registration
Securities Industry Essentials® (SIE®) Exam Information for Schools
Securities Industry Essentials® (SIE®) Exam Information for Schools Help students prepare for a career in the financial services industry by encouraging them to take the Security…
Technical Notice
REMINDER: Modifications to TRACE Dissemination Protocols for Specified Pool Transactions (MBS) – Effective Monday, July 26, 2021
July 19, 2021
Technical NoticeREMINDER: Modifications to TRACE Dissemination Protocols for Specified Pool Transactions (MBS) – Effective Monday, July 26, 2021July 19, 2021 As announced in Regulatory Notice 21-02, FINRA is modifying the convention for…
Events & Training
Webinars
November 18, 2015
Webinars FINRA webinars are free, online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from…
Webinar
FINRA Gateway Webinars
June 3, 2020
FINRA Gateway Webinars Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a wide variety of topics and…
Events & Training
Webinar Series: Registration System Changes
May 10, 2021
Webinar Series: Registration System Changes As FINRA's industry technology developments continue, the systems and work processes used by firms — and industry professionals — to manage registration-related information are also changing.…