FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals.
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
TRACE for Securitized Products CTCI (v1.2)
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
As announced in the December 15, 2008 OATS Reporting Technical Specifications, the Limit Order Display Indicator on the New Order, Combined Order/Route, Combined Order/Execution and Cancel/Replace reports is being renamed the “Customer Instruction Flag” to better reflect the purpose of the field.
Market capitalization, or market cap, is one measurement of a company's size. It is the total value of a company's outstanding shares of stock, which include publicly traded shares plus restricted shares held by company officers and insiders.
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
Effective December 15, 2008, member firms that carry accounts and/or clear transactions or act as an intermediary to facilitate the clearance of accounts through another firm must report their clearing method and clearing arrangements through the FINRA Firm Gateway, a tool that provides firms consolidated access to FINRA applications.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
