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Whether you need to report a gain or can claim a loss after you sell an investment depends on its cost basis. Learn the basics about how to calculate an investment’s cost basis, understand the tax consequences, and what to report to the IRS.
To further cultivate a diverse, equitable and inclusive work environment, FINRA supports an employee resource groups (ERG) program. These networks help create a more inclusive work environment by encouraging employees to lead or participate in activities that have an organization-wide impact and directly support FINRA's commitment to attracting, retaining and engaging top talent.These
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
Web EFT is a secure electronic file transfer application that eliminates the need for firms to manually submit online form filings to Web CRD®.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Thursday April 18, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting April 19, 2024. Please contact FINRA Product Management or call (866) 899-2107 with questions
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
By Bill St. Louis, Executive Vice President and Head of FINRA EnforcementFINRA Enforcement works on the front lines of investor protection. This blog post discusses some of the key objectives that drive this critical work.First, some brief background about FINRA and the role Enforcement plays as part of a multi-faceted regulatory program.FINRA helps ensure that everyone can participate in the
Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited to TRACE,
G. A. REPPLE & COMPANY101 NORMANDY RD, CASSELBERRY, FL 32707G.DISTRIBUTORS, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.RESEARCH, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.W. SHERWOLD ASSOCIATES, INC22994 EL TORO ROAD, LAKE FOREST, CA 92630G1 EXECUTION SERVICES, LLC175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604GAGNON SECURITIES, LLC1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW