Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
(Presentar una queja)Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.Before you file a complaint with FINRA, contact your firm.Immediately question
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
Frequently asked questions about private placements.
Changes in individual stock prices can be due to a specific company or industry event. But major changes in leading U.S. indexes can indicate a wider shift in investor sentiment, which might be driven by broader trends in the domestic or global economy. These changes that can be revealed by economic indicators reported on a periodic basis.
Industry Governor (Small Firm Representative)Chief Operations/Compliance Officer, Herold & Lantern Investments, Inc.Governor Since 2020Committees: Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceChief Operations/Compliance Officer, Herold & Lantern Investments (1993 – present)FINRA
Industry Governor (Small Firm Representative)Chief Compliance Officer, XML Securities, LLCGovernor Since 2024Committee: Regulatory Oversight CommitteeProfessional ExperienceXML Securities, LLCManaging equity member (2022 – Present)Chief Compliance Officer, XML Securities, LLC (2013 – Present)Chief Administrative Officer, XML Securities, LLC (2008 – 2012)XML Financial, LLCManaging equity
The Trade Reporting and Compliance Engine (TRACE) is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities. All broker-dealers who are FINRA member firms have an obligation to report transactions in TRACE-eligible securities under an SEC-approved set of rules.
In observance of Christmas, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Wednesday, December 25, 2024. In observance of New Year's Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Wednesday, January 1, 2025.
