FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2018.
Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
View an index of archived OATS Reports in the page.
Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
FINRA has extended the release of its new OTC Transparency Data Download and API. A new release date will be announced soon. This extension will allow the industry additional time to adopt these changes. In addition, FINRA will be migrating the OTC Transparency Data website to a new infrastructure to improve processing speed and resiliency.
The details of the changes to both the Data Download
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
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Scheduled Maintenance: The exam enrollment system is unavailable due to maintenance, between Friday, November 8, 9 p.m. (ET) until Sunday, November 10, 11 a.m. (ET). Please visit this site again after the stated maintenance period to enroll for the exam. We apologize for any inconvenience.
Students, individuals considering a securities-industry career, and formerly registered individuals
