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Displaying 11061 - 11070 of 11074 Results
Rule Filing
TRF –Short Sale Volume and Transaction Data
February 16, 2021
TRF –Short Sale Volume and Transaction Data Pursuant to a Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for OTC trades in exchange-listed securities reported to a FINRA Trade Reporting…
Rule Filing
CRD Is Moving to FINRA Gateway
CRD Is Moving to FINRA Gateway This page is intended to serve as an at-a-glance resource to help broker-dealer firm users track the development of CRD program-related functionality in FINRA Gateway. Retirement dates for Classic CRD…
Investor Education
Protecting Seniors From Financial Exploitation
April 25, 2018
Choosing an Investment Professional Protecting Seniors From Financial Exploitation April 25, 2018 FINRA Staff…
Rule Filing
Monthly Short Sale Volume Files
Monthly Short Sale Volume Files The Monthly Short Sale Transaction Files provide detailed trade activity of all short sale trades executed and reported to a FINRA Trade Reporting Facility (TRF) or FINRA’s Alternative Display Facility (…
Board of Governors Meeting
July 2021 Board Meeting
July 20, 2021
July 2021 Board Meeting This week, the FINRA Board of Governors will hold its third meeting of 2021. As is often the case for our mid-year Board meeting, this meeting will revolve around a series of strategic discussions in lieu of a…
Training
Purchase FINRA E-Learning Courses and Library Subscriptions
May 24, 2017
Purchase FINRA E-Learning Courses and Library Subscriptions FINRA's e-learning library and individual courses offer training on a range of compliance topics, including anti-money laundering, variable annuities and ethics. New Course:…
Investor Education
Sources of Retirement Income
February 26, 2015
Sources of Retirement Income Managing retirement income starts with knowing what your sources of income will be—from Social Security to an employer-sponsored retirement savings account like a 401(k)—and the rules that govern each income…
News Release
FINRA Warns Senior Investors About Reversing Fortunes With Reverse Mortgages
March 13, 2008
FINRA Warns Senior Investors About Reversing Fortunes With Reverse Mortgages Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert today urging homeowners over the age of 60 to carefully weigh all of their options before tapping into their home equity through reverse mortgages to obtain additional income for their retirement years. A reverse mortgage is an interest-bearing loan…
Technical Notice
Web Application Firewall Information
July 21, 2021
Technical NoticeWeb Application Firewall InformationJuly 21, 2021 fileX is in the process of introducing Web Application Firewall (WAF) to the fileX APIs. Below are the key dates related to the WAF changes. CT on 7/27 PROD on 7/30…
Article
Real-Time Data Agreements
Real-Time Data Agreements PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1 Vendor Agreements (Real-Time Data Feed Access) Vendor Agreement v.7.1 Attachment B v.7.1  (For Existing…