Municipal securities fall into two categories: 1) municipal bonds issued by states, cities, counties and other governmental entities to raise money to build roads, schools and a host of other projects for the public good; and 2) municipal fund securities. Municipal bonds are typically sold in minimum increments of $5,000, pay interest on a semi-annual basis, and have maturities that range from
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under FINRA Rule 12800.
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products to a new Linux-based operating system. FINRA requires client testing participation for this project.Trade Reporting:TRACE clients who utilize FIX for SP trade entry and other transactions should test all FIX Tags to ensure they are properly being processed
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
We encourage you to follow FINRA via social media, RSS feeds and email subscriptions.Social MediaX/Twitter@FINRA has the latest press releases, speeches and announcements.@FINRAFoundation highlights new grants, studies, and other research geared toward improving financial literacy.@FINRA_Tech is pushing the limits of technology to protect investors and ensure financial markets are fair for all.
Follow FINRA's new Instagram page at @FINRAOfficial to find investor-focused content designed to help the everyday investor up their investing know-how.
Brokerage firms are typically paid transaction-based compensation, which means the firm might have an incentive to encourage you to trade often. If you notice a seemingly high level of activity in your brokerage account, this could be a sign of a type of misconduct known as “excessive trading.”
Following is a schedule of voluntary orientations offered via webinar.
