The following is a checklist to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for FINRA membership, which is initiated through the submission of the New Member Application (or Form NMA), which is reviewed by FINRA’s Membership Application Program (MAP) Group.
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.
This data provides trade activity for corporate and agency bonds for up to 10 years. Access up to three years real-time trade history per individual security. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled
This data provides comprehensive information for asset-backed securities (ABSs) that traded within the past 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies.
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years.View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Securities Data GlossaryData SourcesFINRA members report information on transactions in U.S.
Createathon, FINRA’s premiere innovation event, isn’t your average hackathon. Sure, there is a healthy dose of exploratory and rapid engineering in the name of problem solving, but this event is so much more.
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When securities are listed on a centralized exchange, such as the New York Stock Exchange or Nasdaq, transaction information such as price and trade history is readily available to investors through the exchange. But how can you get information about bonds and other fixed income securities that are not listed on a national securities exchange? Information about these securities, known as over-the-counter (OTC) debt securities, is provided by TRACE®—the Trade Reporting and Compliance Engine®.
FINRA is currently experiencing an issue and not accepting TRACE Treasuries trade reports. FINRA will update clients as more details are available.
FINRA is currently experiencing TRAQS issues for TRACE Corporate and Agencies and TRACE Securitized Products (all other facilities are operating normally).
