Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
1. How do I register for the Financial Professional Gateway (FinPro)?
Use the following steps to register:
Registered individuals access Regulatory Element Continuing Education (CE) via FinPro. Learn more about accessing and completing CE.
ul.rulebook{list-style-type:none;padding-left:0px;}
ul.rulebook li{margin-top:20px;text-transform:uppercase;font-weight:400}
h3{margin-bottom:30px;}
#tab-links, .book{display:none;}
Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial
During its May 8-9 meeting, the FINRA Board of Governors approved FINRA’s 2023 Annual Financial Report and appointed new members to FINRA’s Advisory Committees.
From Monday, May 20, 2024, through Friday, May 31, 2024, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed
When securities are listed on a centralized exchange, such as the New York Stock Exchange or Nasdaq, transaction information such as price and trade history is readily available to investors through the exchange. But how can you get information about bonds and other fixed income securities that are not listed on a national securities exchange? Information about these securities, known as over-the-counter (OTC) debt securities, is provided by TRACE®—the Trade Reporting and Compliance Engine®.
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 has resolved the TRAQS issues for TRACE Corporate and Agencies and TRACE Securitized Products.
