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A listing of forms related to Uniform Practice Code.
FINRA’s Member Regulation department is conducting a review with respect to products linked to the CBOE’s Volatility Index (VIX). The review will focus on the supervisory processes followed by firms to identify and mitigate sales practice risks associated with recommendations to non-institutional purchasers of VIX-linked products.
Proposed Rule Change Relating to District Committee Structure and Governance
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
Awards Recognize Research by Undergraduate and Graduate Students in Economics, Psychology, Consumer Sciences and Social Work
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today announced the recipients of two higher-education awards created to recognize outstanding analysis by researchers-in-training using data from the FINRA Foundation’s National Financial Capability
Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make reported short sale trading data publicly available.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make reported short sale trading data publicly available.
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.