The terms used in this Rule 6700 Series shall have the same meaning as those defined in the FINRA By-Laws and rules unless otherwise specified. For the purposes of this Rule 6700 Series, the following terms have the following meaning:(a) "TRACE-Eligible Security" means a debt security that is United States ("U.S.") dollar-denominated and is: (1) issued by a U
1. How do I submit form filings to CRD?
Upon completion of a filing, select the Completeness Check link to run a completeness check for systematic errors within the form. If the completeness check is successful, click the Summary option in the left-hand navigation menu and click the Review Form button. This allows you to review the information in Form View, which matches the layout of the legal
CRD FAQ - Form Filing for Individuals - Disclosure
1. Where can I access a list describing the exams listed in CRD?
A listing of the exams available in CRD can be found on the Qualification Exams page.
2. How long is an exam window in CRD?
Exam windows are valid for 120 days. Provided that an exam candidate is not subject to a waiting period after a previous failed attempt, the exam window start date will be the day following
Steven Price is Senior Vice President, Market Investigations and oversees FINRA’s Market Investigations program, which is responsible for conducting investigations into trading activities, reporting and related processes and controls involving equities, options, and fixed income products and security-based swaps. Mr. Price previously led FINRA’s National Cause Program, which conducts reviews and
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
