At FINRA, you can help power a fair and vibrant market, improving investing for all. As a FINRA employee, you join a committed and talented team of industry leaders who help maintain market integrity and protect investors. Our mission-driven organization oversees more than 634,000 brokers across the country, analyzes billions of daily market events, innovates with AI and machine learning technologies, and works together to ensure fair and vibrant capital markets within the United States.
The landscape of types of investment products is quite broad, and extends well beyond stocks, bonds and mutual funds, which are familiar to many investors. We’ll give you an overview of major investment categories—those that have been around for decades and some that are emerging.
On This PageOverview of Margin RequirementsExtensions of TimeInterpretations of FINRA's Margin RuleCustomer Margin Balance Reporting and Margin StatisticsPortfolio MarginCovered Agency Transaction MarginMargin Disclosure StatementsExternal ResourcesContact OGCOverview of Margin RequirementsThe terms on which FINRA member firms (brokers) can extend credit for securities transactions are
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2024 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
Your brokerage firm issues a trade confirmation every time you buy or sell a security. When a single tap or keystroke can make the difference between 100 and 1,000 shares, it’s important to review this information carefully as soon as you receive a confirmation.
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
Learn how to amend a Form U4 filing to complete the RSL Question by watching this short (2:04 minutes) video.
Learn how to use the Non-registered Locations with RSL Status report template available in FINRA Gateway by watching this short video (2:23 minutes). The report template can be used to identify associated persons’ office of employment addresses marked as non-registered, private residences with outstanding “Yes” or “No” responses.
Learn how to submit a Form BR amendment related to the Residential Supervisory Location (RSL) rule. In this short video (2:02 minutes), FINRA demonstrates a scenario for an existing branch that was previously filed with FINRA, the NYSE, and a state, but is now an RSL for FINRA and the NYSE, but not with the state.
(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members
Amount
