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OTC Threshold data is published daily by FINRA to identify OTC equity securities with fails to deliver that are required to be closed out pursuant to Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320. Firms must utilize the OTC Threshold list to ensure full compliance with the rules. While threshold status is based on the aggregate fail in a specific equity security, the obligation to close-out
The difference between the yields of two different bonds, called a bond spread, can help you understand the potential risks and rewards for investing in a particular bond. Corporate bonds are often measured against relatively risk-free Treasury bonds. Bond spreads can also help you evaluate the overall health of the economy.
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.
Managing a retirement account takes some work. Your plan administrator generally handles your portfolio's actual transactions and the recordkeeping and reporting, but you decide when and how to reallocate and rebalance your assets.Beyond keeping tabs on the performance of your portfolio, you’ll want to know your plan’s rules and procedures and how much your plan and its investments are
May 14 – 16, 2024 • Washington, DC. FINRA's premier event—this conference provides the opportunity for practitioners, industry peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. Register now!
FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, May 10, 2024, from 4:30 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting May 13, 2024. Please contact FINRA Product Management&
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 to reopen the period by which certain participants in the Maintaining Qualifications Program will be able to complete their prescribed 2022 and 2023 continuing education content.
