Data field
Definition
Why we share this data
Convertible
Used to indicate if the bond is convertible. A convertible bond is a corporate debt security that can be converted into equity at specific times during the bond's lifcycle usually at the discretion of the bondholder.
So that investors understand the nature of the bond.
Coupon Rate
A coupon rate is the annual
Below are form layout templates for firms that use the import feature in eFOCUS to file their FOCUS filings.
Please note that the template headers, columns, and line item IDs provided should not be modified or removed, as this will impact the compatibility of the import templates in the system.
Additionally, fields adhere to certain input formatting, such as text fields, numeric fields, or
(a) Unless the context requires otherwise, the terms used in the Rule 6200 and Rule 7100 Series shall have the meanings below. Terms not specifically defined below shall have the meaning in the FINRA By-Laws and rules and Rule 600 of SEC Regulation NMS.
(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.
(2) "ADF-eligible security" means an NMS
All investments carry some degree of risk. Stocks, bonds and funds can lose value. Even conservative, insured investments such as certificates of deposit issued by a bank or credit union, come with inflation risk. They may not earn enough over time to keep pace with the increasing cost of living.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred two brokers from the Boca Raton branch office of the now defunct brokerage firm, SAMCO Financial Services, Inc. - and suspended a third broker for two years - for misconduct in connection with selling complex mortgage-backed securities called Collateralized Mortgage Obligations (CMOs) to retail customers.
Washington, DC - The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the dates and locations of 14 regional CCOutreach BD seminars that will be held throughout the country in 2008. The announcement was made today at the inaugural event of the CCOutreach BD program, a national seminar at SEC headquarters here.
The COVID-19 pandemic is unlike any other crisis in recent history, which presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. So FINRA created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and our markets.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading due to the regulatory, anti-money laundering and reputational risks it posed. Instead, Bocchino
Rulemaking item discussed at the May Board meeting include: disruptive quoting and trading activities; gifts, gratuities and non-cash compensation; broadening chairperson eligibility in arbitration; motions to dismiss in arbitration; and panel selection in customer cases with three arbitrators.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA), on Monday November 12, significantly increased transparency in the so-called "To-Be-Announced" (TBA) market for agency pass-through mortgage-backed securities. This market represents more than $270 billion traded on an average daily basis in 8,400 trades.
