What's New

Podcast

November 21, 2016

Fall 2016 Firm Element Advisory Update Part 2
Investor Education

November 21, 2016

A Quick Guide to Money Market Accounts
Investor Education

November 21, 2016

How to Stay Out of the Red on Black Friday
News Release

November 18, 2016

FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities
News Release

November 17, 2016

FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures
TRACE

Regulatory Filing and Reporting

November 17, 2016

TRACE New Issue Form Update
TRACE

Technical Notice

November 17, 2016

Holiday Reminder Regarding TRACE Market Data
TRACE

Regulatory Filing and Reporting

November 16, 2016

Revised TRACE Corporate and Agencies API Specification
Regulatory Notice

November 16, 2016

Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Speech / Testimony

November 15, 2016

Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum
Monthly Disciplinary Actions

November 15, 2016

Monthly Disciplinary Actions November 2016
Rule Filing

November 15, 2016

SR-FINRA-2016-042
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Rule Filing

November 15, 2016

SR-FINRA-2016-043
Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
ADF

Regulatory Filing and Reporting

November 14, 2016

Reminder: FINRA MPP Client Connections to Nasdaq Data Center
ORF

Regulatory Filing and Reporting

November 14, 2016

Reminder: FINRA MPP Client Connections to Nasdaq Data Center
Investor Education

November 14, 2016

Regulators Warn Investors of Binary Options Risks
TRACE

Regulatory Filing and Reporting

November 14, 2016

Reminder: FINRA MPP Client Connections to Nasdaq Data Center
News Release

November 14, 2016

Study Finds 1 in 3 Student Loan Holders With Payments Due Are Late With Payments and More Than Half Regret Their Borrowing
TRACE

Regulatory Filing and Reporting

November 11, 2016

Revised TRACE Securitized Products API Specification
Podcast

November 10, 2016

Fall 2016 Firm Element Advisory Update Part 1
News Release

November 10, 2016

FINRA Names Stephen M. Cutler to Board of Governors
Rule Filing

November 8, 2016

SR-FINRA-2016-041
Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554
Investor Education

November 8, 2016

The Basics of Selecting Investments
News Release

November 2, 2016

FINRA Fines Eight Firms a Total of $6.2 Million for Supervisory Failures Related to Variable Annuity L-Shares
Regulatory Notice

November 1, 2016

Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017

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