For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
INFORMATIONAL
Decimalization
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Legal & Compliance
Operations
Options
Registered Representatives
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Technology
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Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
INFORMATIONAL
Terrorist Activity
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Executive Representatives
Legal & Compliance
Senior Management
Office of Foreign Assets Control
Terrorist Activity
Executive Summary
At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons
This follow-up to the September 2021 targeted exam (sweep) of firms’ practices related to their acquisition of customers through social media channels and their sharing of customers’ usage information with affiliates and non-affiliated third parties summarizes selected practices FINRA has observed firms implement to this point in the sweep.
Regulators should not be deciding investment strategies for families. They should be making it easier for these families to invest smaller amounts of money in the market. It's high time all investors regardless of their income be allowed to purchase fractional shares.
They shouldn't be imposing special processes like testing investor knowledge of ETFs but rather guide a
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years starting March 25, 2024. Learn more about Treasury securities and other bond types.Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years starting March 25, 2024. Learn more about Treasury securities and other bond types.Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P
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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
REQUEST FOR COMMENT
Disclosure of Mutual Fund Expense Ratios in Performance Advertising
Comment Period Expires: January 23, 2004
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Advertising/Investment Companies
Executive Representatives
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Mutual Fund
Senior Management
Advertising
Mutual Fund Expenses
Investment
INFORMATIONAL
Online Comments
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Legal & Compliance
Registered Representative
Senior Management
Notices to Members
Public Access to Comments
Requests for Comment
Executive Summary
NASD today announced that it is now making available on its Web Site comments filed in response to Notices
