Displaying 1111 - 1120 of 34825 Results
In the near-future, FINRA is introducing a new TRACE Markup/Markdown Analysis Report on the Report Center. The report displays a firm's markup and markdown behavior compared to the industry and provides the underlying details used to calculate the markup or markdown.
Archive of OATS information
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
The OATS Web Interface is intended for all Order Sending Organizations (OSOs) — including member firms and third parties acting on behalf of member firms.
FINRA Revises the Sanction Guidelines
Proposed Rule Change Relating to Statutory Disqualification Application Fees
There are three ways to register: online, fax, or mail.
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
I am an authorized agent, representative or employee of this subscriber and certify that I am legally authorized to conduct financial transactions related to the registered bank account.