FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 14, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 13, 2019
FINRA API Developer Center
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fileX
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless
FINRA Rule 2360 (Options) and FINRA Rule 2359 (Position and Exercise Limits; Liquidations) incorporate certain option exchanges' requirements for options and warrant position and exchange limits. Changes to an options exchange rules could affect a FINRA-regulated firm’s compliance with the FINRA rules. Accordingly, FINRA will provide updates when an options
The following FAQ on FINRA.org pertain to Qualification Exams:
Frequently Asked Questions Regarding Qualification Exams
Frequently Asked Questions Regarding Qualification and Registration Requirements
Frequently Asked Questions Regarding the SIE and Exam Restructuring
Frequently Asked Questions Regarding Back-to-back Scheduling
Frequently Asked Questions Regarding Limited English
Back-to-back scheduling is a feature that allows the scheduling of two appointments for the same day and same test center in one transaction. The following are frequently asked questions related to back-to-back scheduling.
Background
The Military Personnel Financial Services Protection Act ("Military Act") was enacted to protect members of the U.S. Armed Forces from unscrupulous practices regarding sales of insurance, financial and investment products. Congress amended Section 15A(b) of the Securities Exchange Act of 1934 with the enactment of the Military Act to require FINRA, as a registered securities
Timely and complete reporting of all information required by the FINRA By-Laws and rules, as well as the federal securities laws is critical. The Securities and Exchange Commission, FINRA, other self-regulatory organizations and state securities regulators use the information to make licensing and registration decisions, among other things. FINRA also uses the information in FINRA BrokerCheck,
1. What are some tips for printing PDF Reports?
To print reports in Portrait format...
1. What is meant by a "Queue?"
A Queue is an online electronic listing...
