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FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
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Table of Contents
Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2015–2019
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2015–2019
Figure 1.4 Securities Industry Registered Individuals by Type of
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Registration
Continuing Education
Regulatory Element
Executive Summary
With the opening in October of a VUE-authorized testing and training center (VUE center) in Singapore, NASD Regulation, Inc. will no longer grant foreign deferrals to registered persons residing approximately 350 miles or less
(a) Authority for Initiating a Trading and Quotation Halt
In circumstances in which it is necessary to protect investors and the public interest, FINRA may direct members, pursuant to the procedures set forth in paragraph (b), to halt trading and quotations in OTC Equity Securities (as such term is defined in Rule 6420) if:
(1) the OTC Equity Security or the security underlying an
Background
Since we introduced our FINRA360 initiative, FINRA has taken a series of actions to enhance support for small firms, including providing small firms with tools and resources to help them comply with regulations.
A consistent comment that FINRA has heard is a desire on the part of small firms for a tool to allow them to get answers to general questions that did not rise to a level
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
/01 Automatic Money Market Fund Redemptions
Member organizations that establish an automatic money market fund redemption program for customers having both a securities and money fund account, wherein the
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
Mary Schapiro Remarks From SEC's Third Annual Senior Summit
For 20 years, FINRA’s Trade Reporting and Compliance Engine, known as TRACE, has contributed to reduced trade execution costs, facilitated price formation, aided regulatory programs and protected investors, as detailed in a recent blog commemorating this milestone anniversary. As an economist, I’d argue TRACE’s impact extends. For me, some of the real impact is in the research it has enabled.