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Washington, D.C. - The Financial Industry Regulatory Authority (FINRA), in coordination with the Securities and Exchange Commission (SEC) and other regulatory authorities, has been monitoring the U.S. broker-dealer subsidiaries of Bear Stearns & Co. Inc. These broker dealers (Bear, Stearns & Co Inc., Bear, Stearns Securities Corp., Bear Wagner Specialists LLC) remain in compliance with the SEC's and FINRA's capital rules.
If you’re interested in over-the-counter (OTC) trading, you might have heard about dark pools, a type of alternative trading system (ATS) that was designed to handle large trades for institutional investors anonymously. Dark pools allow large buyers and sellers to trade large blocks of shares without causing the market to move against them.
Most bonds make regular interest or "coupon" payments—but not zero coupon bonds. Zeros, as they are sometimes called, are bonds that pay no coupon or interest payment. With a zero, you buy the bond at a discount from the face value of the bond and are paid the face amount when the bond matures.
When it feels like so many things are out of our control, sometimes the best thing to do is focus on the things that are. Here are five questions to ask for some financial peace of mind in the age of coronavirus.
The COVID-19 pandemic is unlike any other crisis in recent history, which presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. So FINRA created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and our markets.
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration
WASHINGTON – FINRA today released a
2018 RegTech Report
outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review
Number of Women With Non-Retirement Investments Remains Stagnant, While Ownership Among Men, Millennials and African-Americans Increases
WASHINGTON – Knowledge of key investing concepts among investors is low, with two-thirds of U.S. adults who own taxable investment accounts failing to correctly answer more than half of the questions contained on a 10-question quiz of investor knowledge,