Representatives who leave their firms often contact former customers and emphasize the benefits the former customers would experience by transferring their assets to the firm that recruited the registered representative (recruiting firm) and maintaining their relationship with the representative.
In this situation, the former customer's confidence in and prior experience with the
The Corporate Financing Department assists FINRA-regulated firms in complying with FINRA rules and federal securities laws by reviewing documents related to firms' capital-raising activities and arrangements. These services provide protections to investors and issuers by regulating underwriting terms and arrangements and addressing conflicts of interest when underwriters are
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:
Filing certain offering documents
Ensuring the suitability of any investments they recommend
Filing Requirements
Two FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms
Whitepaper on Artificial Intelligence (AI) in the Securities Industry
To-Be-Announced (TBA) security data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
Data field
Definition
Why we share this data
Coupon Rate
A coupon rate is the annual interest
This data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date. Learn more about TBA securities and other bond types.
Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S
The Commodity Futures Modernization Act of 2000 (CFMA) lifted the ban on the trading of futures on single securities and on narrow-based security indices (security futures). Security futures are regulated both as securities and as future contracts, and must be traded on trading facilities and through intermediaries registered with both the SEC and CFTC.
Security futures involve a high
The aim of FINRA's equity and debt research analyst and research report rules is to foster objectivity and transparency in research reports and public appearances and provide investors with more reliable and useful information to make investment decisions.
In general, FINRA's equity and debt research rules require clear, comprehensive and prominent disclosure of conflicts of
Deferred variable annuities are hybrid investments containing securities and insurance features. Their sales are regulated both by FINRA and the Securities and Exchange Commission (SEC). These annuities offer investors choices among a number of complex contract features and options.
Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable
FINRA encourages comments on this paper, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption while maintaining investor protection and market integrity. Comments are requested by October 16, 2021.
Member firms and other interested parties can submit their comments using the following methods:
Online using FINRA’s comment form for this Notice
