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Table of Contents
1.1 Sizes and Counts
Figure 1.1.2 FINRA-Registered Representatives by Firm Size, 2018-2022
Table 1.1.3 FINRA-Registered Representatives by Firm Size, 2018–2022
Figure 1.1.4 Average and Median Number of FINRA-Registered Representatives per Firm, 2018-2022
Table 1.1.5 Average and Median Number of FINRA-Registered Representatives per Firm, 2018-2022
Figure 1.1.6
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
While we all hope our marriages will be successful, sometimes life just doesn’t go as planned. Consider these 6 important tips about divorce and your investments.
FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System1 ("Regulation T") and SEA Rule 15c3-3(n)2 to FINRA for approval.
FINRA is highlighting a recent joint Cybersecurity and Infrastructure Security Agency (CISA) and Federal Bureau of Investigation (FBI) Cybersecurity Advisory published on August 30, 2023, which may be updated as new intelligence is uncovered.
FINRA has observed a number of TRACE and ORF clients experiencing problems accessing TRAQS. Users are presented with an entitlement error.
FIX trade reporting is unaffected by this issue. FINRA is currently researching the problem and will provide an update when it is known.
TRAQS clients with questions regarding this issue should contact FINRA Market Operations at (866) 776-0800.