Comparison shopping for financial products such as mutual funds and exchange-traded funds (ETFs) could pay big dividends. FINRA's Fund Analyzer tool can help you make informed decisions about the impact of fees and potential discounts on mutual funds, ETFs, exchange-traded notes and money market funds on your portfolio.
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.FINRA will sponsor a second production User Acceptance Test (UAT) on Saturday, August 10, 2024, from 9 a.m. to 12 p.m. ET. TRACE clients are strongly encouraged to participate in this test to ensure
As of June 1, 2024ChairpersonDarlene Pasieczny*Samuels Yoelin Kantor LLPPortland, OR(Public)PublicOmar BengaliGirard Bengali APCLos Angeles, CAHugh D. BerksonMcCarthy, Lebit, Crystal & Liffman Co., LPACleveland, OHScott Eichhorn*University of Miami School of LawCoral Gables, FLJorge RieraRiera Law FirmCoral Gables, FLPatricia Vannoy*Mattson Ricketts Law FirmLincoln, NECourtney
Summary FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other
If you are aware of unfair practices or specific instances of abusive conduct, FINRA wants to know about it immediately.
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
As part of FINRA’s mission to protect investors and promote market integrity, we are focused on addressing the regulatory challenges presented by our member firms’ crypto asset activities. Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called virtual currencies, coins, and tokens. A particular crypto asset may or may not meet the definition of a “security” under the federal securities laws.
Pursuant to the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) (see Section VI(A)(1)), transactions that both (1) do not update the last sale price (except if solely because the transaction was reported late) and (2) are excepted or exempt from the SEC's trade-through rule (Reg NMS Rule 611) can be executed outside the price bands. To qualify, a trade must satisfy both prongs of the exclusion.
Reviewing and managing your investment account information is essential to ensure your funds were invested in line with your instructions and there were no unauthorized transactions. By organizing your investment records, you'll have information on hand when you need it, including when you file tax returns or if there are problems with your account.
The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
