(a) Member Surcharge
(1) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(A) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(B) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or

When adopting cloud computing on a partial basis, firms typically targeted workloads that could be significantly improved because of the operational benefits provided by the cloud. Some of the key types of applications firms are beginning to deploy on the cloud include the following:
Productivity SaaS applications: Firms migrating to the cloud often seek to become consumers of SaaS products for
Cloud computing refers to the delivery of information technology (IT) services using internet technologies in a way that is elastic and scalable and may be priced on a pay-as-you-go basis. Core cloud computing services generally include data storage, processing capacity, networking and software applications. Many of these services are similar to utility services in that they are largely
An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange. An ATS that registers as a broker-dealer must also comply with the obligations associated with being a registered broker-dealer, including FINRA membership and compliance with FINRA rules.
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
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TRACE (Trade Reporting and Compliance Engine), the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in
Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a
Get information on the Annual CE obligations and statuses within your firm by logging in to FINRA Gateway, clicking on the Reports tab, and selecting the Individuals with Upcoming CE Obligations template.
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.
(a) For purposes of the Rule 6300B Series, unless the context requires otherwise:(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.(3) "Member" means a broker or dealer admitted to FINRA membership.(4) "Market Maker" means an "
(a) For purposes of the Rule 6300A Series, unless the context requires otherwise:(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.(3) "Member" means a broker or dealer admitted to FINRA membership.(4) "Market Maker" means an "
