Municipal securities fall into two categories: 1) municipal bonds issued by states, cities, counties and other governmental entities to raise money to build roads, schools and a host of other projects for the public good; and 2) municipal fund securities. Municipal bonds are typically sold in minimum increments of $5,000, pay interest on a semi-annual basis, and have maturities that range from
Arbitrators are the triers of fact in FINRA arbitrations and they have great authority and wide latitude to decide matters as they see fit. Arbitrators must be, and appear to be, ethical, unbiased and neutral. In this section, you will find the resources and guidelines to achieve these goals.On This PageCode of Ethics for ArbitratorsDisclosure RequirementsDisqualification Criteria10 Best
Summary
Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party vendors, including any sub-
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
The Cybersecurity and Technology Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
There will be a traffic interruption in fileX service in CT and PROD environment for the duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Tuesday June 6, 2023 from 8 p.m to 10 p.m
Contact FINRA Support Center at (800) 321-6273, or by email, if you have any questions.
There will be a traffic interruption in fileX service in CT and PROD environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Thursday April 27, 2023 from 8 p.m to 10 p.m
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
