The End-of-Day TRACE Transaction File is a daily file that includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The file is produced after the TRACE system closes and is separately available for each Real-Time TRACE transaction data set (i.e., the Corporate Bond Data Set, Agency Data Set, SP Data Set, and Rule 144A Data Set).Any party wishing to
This Written Supervisory Procedures Checklist (“WSP Checklist”) outlines selected key topics as a reference tool to assist funding portal members (“FP members”) in fulfilling their compliance obligations.
Overview – FINRA’s Funding Portal Rules (FP Rules) apply to firms that register with the U.S. Securities and Exchange Commission (SEC) as funding portals pursuant to the SEC’s Regulation Crowdfunding (Reg CF) and that become FINRA FP members. Prospective FPs should review, in addition to the rules under the SEC’s Reg CF, Regulatory Notice 16-06 (SEC Approval of FINRA Funding Portal Rules
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This version of the rule is effective for cases filed on or after Mar 04, 2024 through Mar 02, 2025.To view other versions open the versions tab on the right.(a) Applicability of RuleThis rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. All arbitrations administered under this rule will be decided on the pleadings and
Virtual Arbitration Hearing StatisticsArbitration Statistics Through DecemberHistorical Statistics for Cases Filed and ClosedTop 15 Controversy Types in Customer ArbitrationsTop 15 Security Types in Customer ArbitrationsTop 15 Controversy Types in Intra-Industry ArbitrationsHow Arbitration Cases CloseResults of Customer Claimant Arbitration Award CasesResult of Customer Claimant Arbitration Award
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.
Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
When you’re young, it’s easy to feel like there’s no rush to save for retirement. But before you know it, you might find yourself in your 50s or 60s and nowhere near your retirement savings goal. If you’re getting closer to retirement, what can you do to boost your nest egg?
