Different investment products and strategies involve different degrees of risk. So what level of risk is too much? This depends on your risk tolerance—the amount of investment risk you’re willing and able to accept—which is impacted by a variety of factors and is unique to you.
FINRA's Disciplinary Actions database enables users to perform Web-based searches for FINRA Actions that were issued from January 1, 2005 to the present free of charge, seven days a week.
In association with TRACE, FINRA will release the Agency Debt Trade Dissemination ServiceSM (ATDSSM) on March 1, 2010.
FINRA’s 144A Dissemination ServiceSM (144ASM) broadcasts last sale price and other relevant trade data for U.S. dollar-denominated private placement, investment grade and high yield corporate bonds to authorized market data vendors.
FINRA’s Bond Trade Dissemination ServiceSM (BTDSSM ) broadcasts last sale price and other relevant trade data for US dollar-denominated, investment grade and high yield corporate bonds to authorized market data vendors. As the transactions are entered into TRACE, FINRA will automatically generate data messages to be disseminated real-time on BTDS.This document defines the communications interface
FINRA has observed that TRACE Corporate and Agency volume displayed in the TRAQS Time and Sales Scan does not accurately reflect the volume reported in the trades.FINRA will advise when this issue has been corrected.
SummaryFINRA has adopted amendments to Rule 3240 (Borrowing From or Lending to Customers) to strengthen the rule’s general prohibition against borrowing and lending arrangements between registered persons and their customers, narrow some existing exceptions to the general prohibition, modernize the “immediate family” definition, and enhance the notice and approval requirements related to
(a) Members are required to report transactions in NMS stocks, as defined in Rule 600(b) of SEC Regulation NMS, effected otherwise than on or through a national securities exchange to FINRA. For purposes of the Rule 6100 Series, "otherwise than on an exchange" means a trade effected by a FINRA member otherwise than on or through a national securities exchange. The determination of what
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under paragraph (b) of Rules 6282, 6380A and 6380B, if such exemption is consistent with the protection of
Members may use the FINRA/Nasdaq Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/Nasdaq Trade Reporting Facility must comply with the Rule 6300A and 7200A Series, as well as all other applicable rules. The Rule 6300A and 7200A
