This data provides up to 10 years end of day trade activity for on-the-run nominal coupon treasury securities. View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Trade Activity Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury Securities to the Trade Reporting And Compliance Engine (TRACE), the
This data provides trade activity for asset-backed securities (ABSs) for up to 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not
Account Creation1. I am a new user and need to request an enrollment. How do I log into TESS?Please visit our “Enroll for a Series Exam” page and select the appropriate link for the exam you are requesting. Note that before you can enroll as a new user for an exam using TESS, you must register to create a profile. Use the following steps to register:Click on Get Started.Click on “Create Account
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) has released a new report, The machines are coming (with personal finance information). Do we trust them?Despite the growing popularity of artificial intelligence (AI), very few consumers knowingly turn to AI for information on personal finances, according to the report.“As AI continues to be integrated into consumers’ everyday
Generally, brokers and dealers use subordinated loans and notes collateralized by securities (referred to as subordinations) to borrow funds or securities from investors to increase their regulatory net capital. Pursuant to FINRA Rule 4110(e)(1), subordinations must be approved by FINRA in order to receive beneficial regulatory capital treatment.
FINRA is advising member firms that the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The June 2024 ODD contains new language to update (i) the list of options markets to include MEMX, LLC and (ii) settlement information to reflect T+1
We invite you to create an individual account to access Watchlist.CREATE ACCOUNTAlready have an individual account? Login to view your Watchlist.LOGIN Why Create a Watchlist?Create an account to access Watchlist so that you may:Get updated data on fixed income securities of interest to youRetrieve your Watchlist from any device (phone, laptop, etc)Access other FINRA
A financial windfall might seem like an uncomplicated blessing, but found money of any size requires thoughtful management to maximize its full potential. Beneficiaries might find that they have an urge to splurge, are unsure how to invest their assets, or are targeted by fraudsters—any of which can lead to a money blunder.
On June 9, 2005 the Securities and Exchange Commission (SEC) issued its release adopting Regulation NMS. Regulation NMS established substantive rules designed to modernize and strengthen the regulatory structure of the United States equities market. View SEC's spotlight on Regulation NMS. In addition, the SEC approved amendments to NASD Rules that align them with Regulation NMS
The Series 30 exam—the NFA Branch Managers Examination—is a National Futures Association (NFA) exam administered by FINRA.
