This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
Financial Industry Networking Directory (FIND™) Interest Form for Firms let's firms subscribe to The Financial Industry Networking Directory (FIND)™, a complementary FINRA subscription service designed to connect individuals who are enrolled to take the Security Industry Essentials® (SIE®) exam with firms that are recruiting for employment and internship opportunities.
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FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
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.
FINRA senior staff discuss the operational process of the Residential Supervisory Location (“RSL”) designation. This session reviews frequently asked questions we’ve received, including differences between RSLs and other non-branch locations, scenarios regarding when to engage MAP due to the increase in locations, and additional information regarding implementation of this rule.
FINRA’s Board of Governors met on March 9 and 10—and it approved three rule proposals and the allocation of 2021 fine monies to various capital initiatives in accordance with FINRA’s Financial Guiding Principles.
March 10, 2021FINRA’s Board of Governors met virtually last week, and I am pleased to share some updates from our discussions.The Board approved the publication of a Regulatory Notice soliciting comment on proposed amendments to FINRA Rule 3240 (Borrowing From or Lending to Customers) resulting from a recent Retrospective Rule Review. The proposal seeks to strengthen the general prohibition of
FINRA’s Board of Governors met on September 21 and 22, and it approved two rule proposals and met with three officials from the Securities and Exchange Commission (SEC).
During its May 17 and 18 meeting, the FINRA Board of Governors appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and appointed new members to FINRA Advisory Committees.
