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If you’re just starting your career, planning for retirement might be the last thing on your mind. However, the choices you make now can significantly affect your finances in the future. You don’t want to overlook is the 401(k), which can be a powerful resource for building a secure retirement.
What does it mean for something to be tax-advantaged, pre-tax or tax-deferred? Learn how these terms apply to different benefits and investments, including retirement accounts and health care benefits, and how to maximize your tax savings.
WASHINGTON - The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) have issued an investor alert called Structured Notes with Principal Protection: Note the Terms of Your Investment
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has issued a warning about scams that purport to offer investors' access to pre-IPO shares of well-known social media companies, including Facebook.
This video series helps firms currently in the Membership Application Program (MAP) process including those who are considering registering a new broker-dealer firm or filing a continuing membership application. The five short videos outline the various stages of the process and highlight key resources.Membership Application Program - MAP TriageThis video addresses the MAP intake process,
FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders.FINRA is committed to providing guidance, updates and other information to help stakeholders stay informed about the latest developments. New information will be posted on this page as it becomes available.Operating StatusDue to the COVID-19
FINRA Automated Data Delivery System® (FINRA ADDS®) is a secure website through which firms may request trade journals containing transactions submitted to FINRA TRAQS. FINRA also offers additional access to End-of-Day Transaction files for TRACE and the monthly TRACE Security Activity Report via ADDS.Log In to FINRA ADDSRequest Access to FINRA ADDS web or SFTP services.User GuideFINRA ADDS User
TRACE Documentation page
In accordance with the industry-led initiative to shorten the settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor two production User Acceptance Tests (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). These tests will occur on Saturday, May 4, 2024, and
The following outlines process and procedures if there was not sufficient information in the interpretive guidance available online.
Oral Interpretive Requests
If, after consulting the available guidance, a requester determines that an interpretive issue exists with respect to FINRA's rules, the requester should consider contacting OGC staff by telephone to discuss the issue in more