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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
FinPro
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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial and Operational Rules5000. Securities Offering and Trading Standards and Practices6000. Quotation, Order, and Transaction Reporting Facilities7000. Clearing, Transaction and
From Monday, May 20, 2024, through Friday, May 31, 2024, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed. The
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Expand All | Collapse All0100. General Standards0110. Adoption of Rules0120. Effective Date0130. Interpretation0140. Applicability0150. Application of Rules to Exempted Securities Except Municipal Securities0151. Coordination with the MSRB0160. Definitions0170. Delegation, Authority and Access0180. Application of Rules to Security-Based Swaps0190. Effective Date of Revocation, Cancellation
Consumer and/or investor like me should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged people. FINRA shouldn't be playing game or politics here what and where should I invest my money. Please stay off the politics/game here. I want freedom of my investment. I am the one to
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6100. QUOTING AND TRADING IN NMS STOCKS6110. Trading Otherwise than on an Exchange6120. Trading Halts6121. Trading Halts Due to Extraordinary Market Volatility6130. Transactions Related to Initial Public Offerings6140. Other Trading Practices6150. Obligation to Provide Information6151. Disclosure of Order Routing Information for NMS Securities6160. Multiple MPIDs for Trade Reporting
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
FINRA has commented on the following topics.
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA encourages client testing participation in this effort to validate that all processes work within the TRACE reporting framework.