Las personas solo pueden solicitar nuestra ayuda si están al tanto de la existencia de la Oficina del Ombuds. Es por eso que nos esforzamos por aumentar nuestro alcance entre aquellos que se hayan dirigido a nosotros con preguntas o inquietudes - inversionistas, la industria de corredores de bolsa, el personal de FINRA, y cualquier otra parte interesada de FINRA. En 2023, nuestro alcance incluyó
Ver en españolOnly when people are aware of the Office of the Ombuds can they seek our assistance. This is why we strive to increase our outreach to our constituents—investors, the broker-dealer industry, FINRA staff, and any other FINRA stakeholders. In 2023, our outreach included meeting with investor representatives; participating in investor, industry, and employee events; and enhancing our
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. The implementation date for this initiative is Monday, October 21, 2024. On October 21, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A. TRACE data feed clients
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
Rule 606 of Regulation NMS requires broker-dealers to disclose information regarding the handling of their customers’ orders in NMS stocks and listed options. These disclosures are designed to help customers better understand how their firm routes and handles their orders, assess the quality of order handling services provided by their firm, and ascertain whether the firm is effectively managing potential conflicts of interest that may impact their firm’s routing decisions.
FINRA disciplinary actions for the month of October 2024. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
