By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
FINRA reminds ORF and TRACE clients that test function partners should be arranged with other street-side firms when needing to conduct trade matching, new trade entries or allege versions of cancels/corrections and reversal transactions in the Nasdaq Test Facility (NTF) region.
On This PageThe FINRA CRCP CE Reporting and Tracking SystemNavigating the CRCP CE Reporting SystemViewing and Changing Your ProfileViewing CRCP CE CreditsReporting Credits EarnedVerifying Compliance with CRCP CE RequirementsSign-in With GoogleAdditional AssistanceThe FINRA CRCP CE Reporting and Tracking SystemWhat is the FINRA CRCP CE System?The FINRA CRCP® CE System is a web-based
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
Low-priced securities are often known as “microcap stocks” or “penny stocks.” While these securities can be legitimate investments, they’re also high-risk and should be approached with caution by the average investor.
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
If putting all your financial information online in one place sounds like a good idea, there are many companies ready to help you organize your financial life. However, before you share your financial details with data aggregators, it pays to know how these services operate and how to protect yourself from potential privacy and security risks.
When buying or selling stocks, you'll have to figure out whether you want to include any special instructions on the execution of the trade. These qualifiers can have important consequences for your order, so it’s important to understand their differences. The most common time parameters are known as “time in force” options.
Understanding the benefits and risks of various types of orders can help you avoid unintended losses and better ensure your trades are executed in a timely manner and at a price with which you are comfortable.
