Displaying 34801 - 34810 of 34812 Results
FINRA provides real-time market trade information for Corporate and Agency bonds, Securitized Products (ABS, CMO, MBS, TBA) and Private Placement (144A) bonds including execution date and time, quantity, price, and yield as reported to TRACE (Trade Reporting And Compliance Engine). Since the bond market is less liquid than most markets for stocks, there may be no trade activity in a security for
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 will sponsor a production User Acceptance Test (UAT) on Saturday, July 20, 2024, from 9 a.m. to 12 p.m. ET. Clients who wish to participate in this test must register with FINRA Market Operations
Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s adjudicatory forum for disciplinary and
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies. The conference also provides the opportunity to network
/**/
Incident FreeAll status information is reported on this page in Eastern Time (ET). To report a system outage or disruption, please email or call the FINRA Support Center at (301) 590-6500.CE Platform for Regulatory Element & Practical Element CE Scheduled MaintenanceStatus: Service disruptions will occur.Maintenance Period: Saturday, July 20, 2024, from 12 a.m. to 8 a.m.Description
Ver en español
Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
FINRA’s Office of the Ombuds is an independent, neutral, and confidential resource for anyone with questions or concerns about FINRA, which regulates the U.S. brokerage
/**/
Robert W. CookPresident and Chief Executive OfficerRobert W. Cook is President and CEO of FINRA.From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities
Pursuant to FINRA Rule 4521, FINRA member firms carrying margin accounts for customers are required to submit the following customer information: the total of all debit balances in securities margin accounts; and, the total of all free credit balances in all cash accounts and all securities margin accounts.
Our compliance tools come in many forms, including templates, checklists and directories. These optional tools may assist member firms with:Fulfilling their regulatory obligations;Implementing written supervisory procedures (WSPs); andTailoring their policies and procedures to reflect their size, business model and regulatory needs.Using these tools does not guarantee compliance with, or create