Distributed Denial of Service (DDoS) Attacks on Member Firms
No member or member organization shall:
(1) Reserved.
(2) Reserved.
(3) Reserved.
(4) Reserved.
(5) Circulation of rumors
Circulate in any manner rumors of a sensational character which might reasonably be expected to affect market conditions on the Exchange. Discussion of unsubstantiated information published by a widely circulated public media is not prohibited when its source and
The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices.
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior month. Monthly aggregated data is published on the second business day following the end of the month.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior month. Monthly aggregated data is published on the second business day following the end of the month.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day. The daily aggregate data is published at 8:00 PM ET every business day.
Treasury bond data is aggregated by security subtype: Bills, Floating Rate Notes (FRN), Nominal Coupons and Treasury Inflation-Protected Securities (TIPS). The data is further grouped into "ATS (
No member or member organization shall:
(1) Reserved.
(2) Reserved.
(3) Reserved.
(4) Reserved.
(5) Circulation of rumors
Circulate in any manner rumors of a sensational character which might reasonably be expected to affect market conditions on the Exchange. Discussion of unsubstantiated information published by a widely circulated public media is not prohibited when its source and
FINRA’s Board of Governors met on September 21 and 22, and it approved two rule proposals and met with three officials from the Securities and Exchange Commission (SEC).
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,
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and
