Monthly Disciplinary Actions January 2018
Expecting a bump in your pay soon? You're not alone. But before you get carried away, it’s time to stop and think about how you can make the most of the extra cash so you aren’t soon left wondering how you ever lived on less.
Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
On August 18, 2008, BATS Trading ("BATS") announced that it had received approval from the Securities Exchange Commission to operate a stock exchange, BATS Exchange, Inc.
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.
Personal Information Required
As a matter of
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
An investment’s performance is more than just the amount it has appreciated since you bought it, whether we’re talking stocks, bonds, real estate or some other asset. If you want to make informed investment decisions, it’s important that you understand how to calculate your return on investment (ROI).
