In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 28, 2024. Please be advised that the TRACE system will close early on Friday, November 29, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 28, 2024. Please be advised that the ORF system will close early on Friday, November 29, 2024 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
At FINRA, our employees are our greatest asset and include many of the brightest and most talented individuals in the financial services industry. We strive to create a diverse and inclusive culture where the thoughts and ideas of all FINRA employees are valued, appreciated and respected.Since fairness is at the very heart of what we do, diversity in our workforce must mirror the same commitment
FINRA disciplinary actions for the month of November 2024. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
Frequently asked questions about private placements.
Corporate mergers and acquisitions can have a significant impact on the value of stock held by investors. But apart from the potential for sudden price changes for impacted shares, what else do investors need to know about mergers and acquisitions?
When you invest in stocks of publicly traded companies, something comes with the package—corporate actions, which may affect a company’s stock and, therefore, its shareholders. Here are six common types of corporate actions and how they might impact your investments.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
Rule 4111 Compliance Tool – Lists of Expelled FirmsFINRA Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as Restricted Firms to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations. Rule 4111 establishes a multi-step, annual process through which
There are many ways you can slice a pie and reasons why you might want to serve larger or smaller pieces, but if you go too big, the size of a piece can become overwhelming. Sometimes, the same could be said of stocks.When a stock price gets high, sometimes a public company will want to lower that price and can do that with a stock split.A stock split is a decision by a company’s board to
