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FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
FINRA has resolved the TRAQS issues for TRACE Corporate and Agencies and TRACE Securitized Products.
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including:this year’s training assignments and completion deadline of December 31, 2023;the consequences of not completing required annual training and CE inactive status; andresources available to firms for facilitating
SummaryThis Notice reminds firms of the changes to FINRA’s Continuing Education (CE) Firm Element requirement, specifically:extending the requirement to all registered persons;recognizing other required training toward satisfying an individual’s annual Firm Element obligation; andrevising the minimum Firm Element training criteria.FINRA and the Securities Industry/Regulatory Council on Continuing
FINRA is currently experiencing an issue and not accepting TRACE Treasuries trade reports. FINRA will update clients as more details are available.
FINRA is currently experiencing TRAQS issues for TRACE Corporate and Agencies and TRACE Securitized Products (all other facilities are operating normally).
FINRA understands that some firms have experienced issues with certain aspects of TRACE and ORF trade reporting. FINRA is investigating and will update clients as more details are available.
Our compliance tools come in many forms, including templates, checklists and directories. These optional tools may assist member firms with:Fulfilling their regulatory obligations;Implementing written supervisory procedures (WSPs); andTailoring their policies and procedures to reflect their size, business model and regulatory needs.Using these tools does not guarantee compliance with, or create
This data provides trade activity for corporate and agency bonds for up to 10 years. Access up to three years real-time trade history per individual security. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled
