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Various updates.
Survey Shows More Than Half of Respondents Use Financial Professionals, But Knowledge of Investment Concepts is Low and Generational Divides Exist
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) announced today the results of its Investors in the United States 2016 report, which provides a detailed analysis of 2,000 survey respondents from across the United States who
Various updates.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Registered Representatives
Training
Variable Contracts
Executive Summary
On July 15, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rules 2820 (Variable Contracts Rule) and 2830 (Investment Company Rule) that regulate non-cash
If you want to save more, America Saves Week is the perfect opportunity to commit to a plan to do so. Taking the America Saves Pledge can be the nudge you need to help meet your savings goals. You’ll choose what you’re saving toward and how you plan to achieve it.
Appendix C.II. Data
On February 28, 2017, FINRA published Appendix C.II. data for the months of April 2016 through January 2017. Going forward, each month’s data will be available on FINRA’s website by the 30th calendar day of the following month. Access the Appendix C.II. data.
Delay in Publishing Appendix B Data
FINRA and the other Participants have requested an exemption from Section VII(
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1998, the maximum Small Order Execution SystemSM (SOESSM) order sizes for 488 Nasdaq National Market® (NNM) securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more information, please contact Nasdaq® Market
WASHINGTON — FINRA today launched its new Academic Corporate Bond TRACE Data product, an enhanced historical data product available solely to institutions of higher education.
The product supports and encourages academic research on corporate bonds by providing academics with access to TRACE historical transaction-level, corporate bond data. The data is available on a 36-month delayed basis and
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) By-Laws were recently amended to require members' Executive Representatives to maintain electronic mail accounts for the purpose of updating firm contact information electronically