The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
Board Appoints Industry Governors, Discusses FINRA’s Long-Term Financial Planning and Hears Latest From Key Stakeholders
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This user guide provides Super Account Administrators (SAAs) and Account Administrators (AAs) with the requirements of the FINRA Entitlement Program and instructions and tips for how to navigate the Account Management System of the FINRA Entitlement Program.i Responsibilities for Managing Account Accessii Best Practices for
Transparency Services Legal Agreements
Eligible individuals enroll in FINRA’s Maintaining Qualifications Program (MQP), the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for Broker-Dealer Agents (AG EVEP), or NASAA's EVEP for Investment Adviser Representatives (IAR EVEP) via FinPro. Learn more about accessing FinPro and view a selection of user guides detailing how to
In order to perform system maintenance for TRACE Securitized Products and TRACE Corporate and Agency, the FINRA Test Facility (NTF) will be unavailable for Securitized Product and Corporate and Agency testing for the balance of the day on Thursday, October 10, 2024. This affects TRACE SP and CA FIX connections and TRAQS only. No other product in NTF is impacted by this. Production
(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers. In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-
