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This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. Learn more about bonds.The advances, declines, and unchanged requires the security to have at
This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. Learn more about bonds.The advances, declines, and unchanged requires the security to have at
Continuing Education Planning
Continuing Education Planning
FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP. In this episode, we learn more about MAP and some of the recent and ongoing enhancements to the program.
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Table of Contents
Figure 2.1 Total Number of FINRA-Registered Firms, 2015−2019
Figure 2.2 Firm Distribution by Size, 2015−2019
Table 2.2 Firm Distribution by Size, 2015−2019
Figure 2.3 Securities Industry Registered Firms by Type of Registration, 2010−2019
Table 2.3 Securities Industry Registered Firms by Type of Registration, 2010−2019
Figure 2.4 Distribution of Branches by Firm
Continuing Education Planning
Continuing Education Planning
The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For each topical area covered, the Report identifies the relevant rule(s), highlights key considerations for member firms’ compliance programs, summarizes noteworthy findings from recent examinations, outlines effective practices that FINRA observed during its oversight, and provides additional resources that may be helpful to member firms in reviewing their supervisory procedures and controls and fulfilling their compliance obligations.
Continuing Education Planning