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Cybersecurity has only increased in importance as huge swaths of the workforce continue to work remotely. On this episode, two FINRA cybersecurity experts share how FINRA handled the transition and areas of focus for 2021. Plus, learn why you should think twice before trying to brush that piece of hair off your phone screen.
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
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Table of Contents
Figure 2.1 Total Number of FINRA-Registered Firms, 2017−2021
Figure 2.2 Firm Distribution by Size, 2017−2021
Table 2.2 Firm Distribution by Size, 2017−2021
Figure 2.3 Securities Industry Registered Firms by Type of Registration, 2012−2021
Table 2.3 Securities Industry Registered Firms by Type of Registration, 2012−2021
Figure 2.4 Distribution of Branches by Firm
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Registered Representatives
Training
Variable Contracts
Executive Summary
On July 15, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rules 2820 (Variable Contracts Rule) and 2830 (Investment Company Rule) that regulate non-cash