For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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April 18, 1994
Dear Member:
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-keeping and record retention, respectively, were also approved. The limitations and requirements established by Rule G-37. and the changes to Rules G-8 and G-9, are effective April 25, 1994.
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Executive Summary
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Senior Management |
Executive Summary
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Senior Management |
Executive Summary
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Executive Summary
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Executive Summary
Comment Period Expires June 15, 1994
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Senior Management |
Executive Summary