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FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by senior staff from the Office of Credentialing, Registration, Education and Disclosure to discuss updates with registration, testing and continuing education (CE).
On This PageOverview of Margin RequirementsExtensions of TimeInterpretations of FINRA's Margin RuleCustomer Margin Balance Reporting and Margin StatisticsPortfolio MarginCovered Agency Transaction MarginMargin Disclosure StatementsExternal ResourcesContact OGCOverview of Margin RequirementsThe terms on which FINRA member firms (brokers) can extend credit for securities transactions are
Trading on securities exchanges and alternative trading systems (ATSs) has evolved to the point that these venues now execute electronically the vast majority of their volume. This increased automation of trading and the popularity of sponsored or direct access arrangements where broker-dealers allow customers to trade in those markets using the broker-dealers' market participant identifiers
FINRA's Dispute Resolution Services (DRS) helps investors and firms resolve securities-related disputes through arbitration and mediation. We provide a fair, efficient and effective forum for resolving disputes involving brokerage firms and their brokers.8,000+well-qualified arbitrators drawn from a variety of professions and backgrounds.84%of customer arbitration cases closed
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
