FINRA is currently experiencing TRAQS issues on some display screens for all products. FINRA will update clients as more details are available.
We invite you to create an individual account to access Watchlist.CREATE ACCOUNTAlready have an individual account? Login to view your Watchlist.LOGIN Why Create a Watchlist?Create an account to access Watchlist so that you may:Get updated data on fixed income securities of interest to youRetrieve your Watchlist from any device (phone, laptop, etc)Access other FINRA applications, such as Support
On June 9, 2005 the Securities and Exchange Commission (SEC) issued its release adopting Regulation NMS. Regulation NMS established substantive rules designed to modernize and strengthen the regulatory structure of the United States equities market. View SEC's spotlight on Regulation NMS. In addition, the SEC approved amendments to NASD Rules that align them with Regulation NMS requirements
The Series 30 exam—the NFA Branch Managers Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 31 exam—the Futures Managed Funds Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 32 exam—the Limited Futures Examination-Regulations—is a National Futures Association (NFA) exam administered by FINRA.
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization. fileX will eventually replace the different legacy file transfer methods in use today.
The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations ("SROs") and state securities regulators may conduct effective examinations of broker-dealers.
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SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
