The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
The Series 26 exam — the Investment Company and Variable contracts Products Principal Qualification Exam (IP) — assesses the competency of an entry-level principal to perform their job as an investment company and variable products principal.
The Series 39 exam — the Direct Participation Programs Principal Qualification Exam (DP) — assesses the competency of an entry-level principal to perform their job as a direct participation programs principal.
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 2 - 2016
Web API/User Guide Specifications and Production Test Scripts Archive
As a neutral party, the Ombuds does not take sides on any issues brought to our attention, but considers the interest and concerns of all parties to a situation with the objective of achieving fair outcomes. Neutrality is the Ombuds' goal, and carrying out that role demands fairness, objectivity, impartiality and even-handedness despite personal preferences.
General overview of the rule making process.
FINRA experienced TRAQS issues on display screens for TRACE Corporate/Agency of prior day transactions only (all other facilities were operating normally). Reporting trades via TRAQS and FIX was not impacted. This display issue has been resolved.
SummaryThe purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.A formal notice of the NAC election and ballot
FinPro now offers two optional features that permit users to collaborate with their firms on a draft Form U4:Allow Rep Edits grants individuals the ability to review and modify a draft, andthe E-Signature feature offers reps the option to sign a completed form electronically rather than with a pen.Firms can enable one or both of these optional tools to streamline the work performed while
