The AG position is the designation used in Form U4 as part of the CRD Program to identify a person who has been approved to sell securities in a particular jurisdiction. Many states require qualification by examination for this position; however, the qualification requirements vary between jurisdictions. The North American Securities Administrators Association (NASAA), after consultation with
Are you looking beyond a traditional savings account to begin to invest in stocks, bonds or funds? Perhaps you’re looking for someone to help develop a road map for your financial future. These and other situations might make you consider contacting an investment professional.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, January 31, 2025. Production systems are unaffected by this event. NTF will become available again for all products on February 3, 2025.
In addition to checking and savings accounts, your local bank may offer you investment accounts that you can use to save for college or retirement, insurance coverage for your home or your life, or annuities to help you generate retirement income.
In order to perform system maintenance for TRACE Securitized Products and TRACE Corporate and Agency, the FINRA Test Facility (NTF) will be unavailable for Securitized Product and Corporate and Agency testing for the balance of the day on Thursday, October 10, 2024. This affects TRACE SP and CA FIX connections and TRAQS only. No other product in NTF is impacted by this. Production
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, June 14, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting June 17, 2024.Please contact FINRA Product Management or call (866) 899-2107 with
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, May 10, 2024, from 4:30 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting May 13, 2024. Please contact FINRA Product Management&
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, April 26, 2024. Production systems are unaffected by this event. NTF will become available again for all products starting April 29, 2024. Please contact FINRA Product Management or call (866)
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Thursday April 18, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting April 19, 2024. Please contact FINRA Product Management or
