Frequently asked questions and answers
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.The trading information is derived directly from OTC trades
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit projections of performance in institutional communications and specified communications to qualified purchasers.
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 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.
