SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2025 or the first quarter of 2026. FINRA reminds members that all such filings they submit to FINRA must be made electronically
Overseeing Thousands to Protect Millions Following World War II, American consumer interest in the stock market surged, thanks to the end of wartime austerity and a surplus of cash. By the mid-1950s one out of every 12 American adults personally held securities, while millions more owned them through insurance companies, mutual funds, or pension funds. As stocks boomed and demand soared, so too
On This PageEFS InstructionsEFS VendorsEFS InstructionsBroker-dealer firms and funding portals can submit fingerprints electronically to Sterling Identity (Sterling), FINRA’s designated fingerprint provider, by following the steps below.1. Determine how your firm will submit fingerprintsThere are two options for electronic fingerprinting:Send individuals to a participating EFS vendor’s location.
FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.Upcoming WebinarsThere are no upcoming webinars scheduled at this time. Previous WebinarsAccount Management: Annual Super Account Administrator (SAA)
Increasingly, many investors have been choosing to put money where their values are—into a growing array of products that fall broadly into the category of environmental, social and governance investing, often called ESG investing for short. If you're thinking about investing in ESG products, here are some tips to keep in mind and traps to avoid.
A diversified portfolio tends to be harder to achieve than simply following the mantra to avoid putting all of your investment eggs in one basket. This basic strategy can help, but it is often not enough to avoid concentration risk—the risk of amplified losses that may occur from having a large portion of your holdings in a particular investment, asset class or market segment relative to your overall portfolio. Learn more about concentration risk and read tips on how to manage it.
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
1. Do Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?
Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with Conflicts
(a) Digital or Other Recording(1) Except as provided in paragraph (b) of this Rule, the Director will make a digital or other recording of every hearing. Executive sessions (i.e., discussions among arbitrators outside the presence of the parties, their representatives, witnesses, and stenographers) held by the panel will not be recorded. The Director will provide a copy of the recording to any
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
