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Bonds and bond funds can help diversify your portfolio.
Bond prices fluctuate, although they tend to be less volatile than stocks.
Some bonds, particularly U.S. Treasury securities, come with relatively lower risks and can help preserve capital and potentially generate income.
When interest rates rise, bond prices tend to fall, and vice versa.
FINRA’s Fixed Income Data offers an easy way to find bond facts, including real-time data on corporate and agency bonds and important educational information.
Reserved MPID
Bank Name
Treasury (TS)
Agency Debt (CA) & Agency MBS (SP)
BACP
Bank of America, N.A. (Private Bank)
x
x
BACT
Bank of America, N.A. (Corporate Treasury)
x
x
BAGM
Bank of America, N.A.
x
x
BMCH
Bank of Montreal, Chicago Branch
x
x
BNYB
Bank of New York Mellon
x
x
BNSA
Bank of Nova Scotia
x
BOKC
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 4, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
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Table of Contents
2.1 Sizes and Counts
Figure 2.1.1 Total Number of FINRA-Registered Firms, 2018−2022
Figure 2.1.2 Firm Distribution by Size, 2018−2022
Table 2.1.3 Firm Distribution by Size, 2018−2022
Figure 2.1.4 Securities Industry Registered Firms by Type of Registration, 2013−2022
Table 2.1.5 Securities Industry Registered Firms by Type of Registration, 2013−2022
Figure 2.