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FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
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 definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
A diversified portfolio tends to be harder to achieve than simply following the mantra to avoid putting all of your investment eggs in one basket. This basic strategy can help, but it is often not enough to avoid concentration risk—the risk of amplified losses that may occur from having a large portion of your holdings in a particular investment, asset class or market segment relative to your overall portfolio. Learn more about concentration risk and read tips on how to manage it.
Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
Sec. 3. Each member shall appoint and certify to the Secretary of the Corporation one "executive representative" who shall represent, vote, and act for the member in all the affairs of the Corporation, except that other executives of a member may also hold office in the Corporation, serve on the Board or committees appointed under Article IX, Section 1 or otherwise
TRACE Corporate and Agency volume for all current day’s transactions displayed in the TRAQS Time and Sales Scan are now accurately reflecting volume reported in trades.Please note, trade volume reported for Monday, October 21, 2024, and Tuesday, October 22, 2024, are still displayed inaccurately.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Agenda is subject to change. All times are in Mountain time. Wednesday, November 209:00 a.m. – 9:40 a.m.Check-in and Breakfast9:40 a.m. – 9:50 a.m.Remarks9:50 a.m. – 10:50 a.m.Municipal Advisor Disclosure Obligations10:50 a.m. – 11:00 a.m.Break11:00 a.m. – 12:00 p.m.Off-Channel Communications12:00 p.m. – 1:15 p.m.Lunch (On Your Own)1:15 p.m. – 1:25 p.m.Remarks1:25 p.m. – 2:25 p.m.
