Displaying 34471 - 34480 of 34814 Results
To be approved as a FINRA member firm, the Form NMA and supporting documentation must satisfy the Standards of Admission set forth in NASD Rule 1014 and all other statutory and regulatory requirements.
Continuing Membership Guide - Frequently Asked Questions
The Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we learn more.
Overview
The following is a guide 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
The FINRA broker-dealer (BD) registration process covers a firm's full life cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements and what member firms need to do to expand their business or withdraw
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series. Hear from FBI field office leaders and cyber investigators as they discuss real-time threat intelligence and provide local and regional FBI resources that are available to you.There is no cost to attend these events. Threat Briefings are open to FINRA member firms only.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure).
OTC Threshold data is published daily by FINRA to identify OTC equity securities with fails to deliver that are required to be closed out pursuant to Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320. Firms must utilize the OTC Threshold list to ensure full compliance with the rules. While threshold status is based on the aggregate fail in a specific equity security, the obligation to close-out
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their short positions in
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.FINRA Rule 4560 requires FINRA member firms to report their short positions in all OTC equity securities to FINRA. OTC equity / other OTC short interest is available for view by issue, or by