CINXE.COM

<!DOCTYPE html> <html lang="en" dir="ltr" prefix="og: https://ogp.me/ns#"> <head> <script type="text/javascript" src="https://try.abtasty.com/1815f4bcb7f984090f9f3450ffb107c9.js"></script>  <script>(function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start': new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0], j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src= 'https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f); })(window,document,'script','dataLayer','GTM-PX5XDBN');</script>  <script defer src="//cdn.jsdelivr.net/bluebird/3.5.0/bluebird.min.js"></script> <script defer src="https://cdnjs.cloudflare.com/ajax/libs/fetch/2.0.3/fetch.js"></script> <meta charset="utf-8" /> <meta name="description" content="FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals鈥攁nd we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. We also provide tools and calculators to help you make informed financial decisions." /> <link rel="canonical" href="https://www.finra.org/investors" /> <link rel="image_src" href="https://www.finra.org/sites/default/files/2019-05/GettyImages-sb10065735a-014.jpg" /> <meta name="google" content="p6aFpyERRdC4Ror_K0mTRRtXKjAsz35RTQl_MDv_nNg" /> <meta property="og:title" content="For Investors" /> <meta property="og:description" content="FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals鈥攁nd we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. We also provide tools and calculators to help you make informed financial decisions." /> <meta property="og:image" content="https://www.finra.org/sites/default/files/2019-05/GettyImages-sb10065735a-014.jpg" /> <meta name="Generator" content="Drupal 10 (https://www.drupal.org)" /> <meta name="MobileOptimized" content="width" /> <meta name="HandheldFriendly" content="true" /> <meta name="viewport" content="width=device-width, initial-scale=1, shrink-to-fit=no" /> <meta http-equiv="x-ua-compatible" content="ie=edge" /><script type="text/javascript">(window.NREUM||(NREUM={})).init={ajax:{deny_list:["bam.nr-data.net"]}};(window.NREUM||(NREUM={})).loader_config={licenseKey:"d7b664b4b4",applicationID:"486102969"};;/*! For license information please see nr-loader-rum-1.274.0.min.js.LICENSE.txt */ (()=>{var e,t,r={8122:(e,t,r)=>{"use strict";r.d(t,{a:()=>i});var n=r(944);function i(e,t){try{if(!e||"object"!=typeof e)return(0,n.R)(3);if(!t||"object"!=typeof t)return(0,n.R)(4);const r=Object.create(Object.getPrototypeOf(t),Object.getOwnPropertyDescriptors(t)),o=0===Object.keys(r).length?e:r;for(let a in o)if(void 0!==e[a])try{if(null===e[a]){r[a]=null;continue}Array.isArray(e[a])&&Array.isArray(t[a])?r[a]=Array.from(new Set([...e[a],...t[a]])):"object"==typeof e[a]&&"object"==typeof t[a]?r[a]=i(e[a],t[a]):r[a]=e[a]}catch(e){(0,n.R)(1,e)}return r}catch(e){(0,n.R)(2,e)}}},2555:(e,t,r)=>{"use strict";r.d(t,{Vp:()=>c,fn:()=>s,x1:()=>u});var n=r(384),i=r(8122);const o={beacon:n.NT.beacon,errorBeacon:n.NT.errorBeacon,licenseKey:void 0,applicationID:void 0,sa:void 0,queueTime:void 0,applicationTime:void 0,ttGuid:void 0,user:void 0,account:void 0,product:void 0,extra:void 0,jsAttributes:{},userAttributes:void 0,atts:void 0,transactionName:void 0,tNamePlain:void 0},a={};function s(e){try{const t=c(e);return!!t.licenseKey&&!!t.errorBeacon&&!!t.applicationID}catch(e){return!1}}function c(e){if(!e)throw new Error("All info objects require an agent identifier!");if(!a[e])throw new Error("Info for ".concat(e," was never set"));return a[e]}function u(e,t){if(!e)throw new Error("All info objects require an agent identifier!");a[e]=(0,i.a)(t,o);const r=(0,n.nY)(e);r&&(r.info=a[e])}},9417:(e,t,r)=>{"use strict";r.d(t,{D0:()=>g,gD:()=>h,xN:()=>p});var n=r(993);const i=e=>{if(!e||"string"!=typeof e)return!1;try{document.createDocumentFragment().querySelector(e)}catch{return!1}return!0};var o=r(2614),a=r(944),s=r(384),c=r(8122);const u="[data-nr-mask]",d=()=>{const e={mask_selector:"*",block_selector:"[data-nr-block]",mask_input_options:{color:!1,date:!1,"datetime-local":!1,email:!1,month:!1,number:!1,range:!1,search:!1,tel:!1,text:!1,time:!1,url:!1,week:!1,textarea:!1,select:!1,password:!0}};return{ajax:{deny_list:void 0,block_internal:!0,enabled:!0,harvestTimeSeconds:10,autoStart:!0},distributed_tracing:{enabled:void 0,exclude_newrelic_header:void 0,cors_use_newrelic_header:void 0,cors_use_tracecontext_headers:void 0,allowed_origins:void 0},feature_flags:[],generic_events:{enabled:!0,harvestTimeSeconds:30,autoStart:!0},harvest:{tooManyRequestsDelay:60},jserrors:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},logging:{enabled:!0,harvestTimeSeconds:10,autoStart:!0,level:n.p_.INFO},metrics:{enabled:!0,autoStart:!0},obfuscate:void 0,page_action:{enabled:!0},page_view_event:{enabled:!0,autoStart:!0},page_view_timing:{enabled:!0,harvestTimeSeconds:30,autoStart:!0},performance:{capture_marks:!1,capture_measures:!1},privacy:{cookies_enabled:!0},proxy:{assets:void 0,beacon:void 0},session:{expiresMs:o.wk,inactiveMs:o.BB},session_replay:{autoStart:!0,enabled:!1,harvestTimeSeconds:60,preload:!1,sampling_rate:10,error_sampling_rate:100,collect_fonts:!1,inline_images:!1,fix_stylesheets:!0,mask_all_inputs:!0,get mask_text_selector(){return e.mask_selector},set mask_text_selector(t){i(t)?e.mask_selector="".concat(t,",").concat(u):""===t||null===t?e.mask_selector=u:(0,a.R)(5,t)},get block_class(){return"nr-block"},get ignore_class(){return"nr-ignore"},get mask_text_class(){return"nr-mask"},get block_selector(){return e.block_selector},set block_selector(t){i(t)?e.block_selector+=",".concat(t):""!==t&&(0,a.R)(6,t)},get mask_input_options(){return e.mask_input_options},set mask_input_options(t){t&&"object"==typeof t?e.mask_input_options={...t,password:!0}:(0,a.R)(7,t)}},session_trace:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},soft_navigations:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},spa:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},ssl:void 0,user_actions:{enabled:!0}}},l={},f="All configuration objects require an agent identifier!";function g(e){if(!e)throw new Error(f);if(!l[e])throw new Error("Configuration for ".concat(e," was never set"));return l[e]}function p(e,t){if(!e)throw new Error(f);l[e]=(0,c.a)(t,d());const r=(0,s.nY)(e);r&&(r.init=l[e])}function h(e,t){if(!e)throw new Error(f);var r=g(e);if(r){for(var n=t.split("."),i=0;i<n.length-1;i++)if("object"!=typeof(r=r[n[i]]))return;r=r[n[n.length-1]]}return r}},3371:(e,t,r)=>{"use strict";r.d(t,{V:()=>f,f:()=>l});var n=r(8122),i=r(384),o=r(6154),a=r(9324);let s=0;const c={buildEnv:a.F3,distMethod:a.Xs,version:a.xv,originTime:o.WN},u={customTransaction:void 0,disabled:!1,isolatedBacklog:!1,loaderType:void 0,maxBytes:3e4,onerror:void 0,ptid:void 0,releaseIds:{},appMetadata:{},session:void 0,denyList:void 0,timeKeeper:void 0,obfuscator:void 0},d={};function l(e){if(!e)throw new Error("All runtime objects require an agent identifier!");if(!d[e])throw new Error("Runtime for ".concat(e," was never set"));return d[e]}function f(e,t){if(!e)throw new Error("All runtime objects require an agent identifier!");d[e]={...(0,n.a)(t,u),...c},Object.hasOwnProperty.call(d[e],"harvestCount")||Object.defineProperty(d[e],"harvestCount",{get:()=>++s});const r=(0,i.nY)(e);r&&(r.runtime=d[e])}},9324:(e,t,r)=>{"use strict";r.d(t,{F3:()=>i,Xs:()=>o,xv:()=>n});const n="1.274.0",i="PROD",o="CDN"},6154:(e,t,r)=>{"use strict";r.d(t,{OF:()=>c,RI:()=>i,WN:()=>d,bv:()=>o,gm:()=>a,mw:()=>s,sb:()=>u});var n=r(1863);const i="undefined"!=typeof window&&!!window.document,o="undefined"!=typeof WorkerGlobalScope&&("undefined"!=typeof self&&self instanceof WorkerGlobalScope&&self.navigator instanceof WorkerNavigator||"undefined"!=typeof globalThis&&globalThis instanceof WorkerGlobalScope&&globalThis.navigator instanceof WorkerNavigator),a=i?window:"undefined"!=typeof WorkerGlobalScope&&("undefined"!=typeof self&&self instanceof WorkerGlobalScope&&self||"undefined"!=typeof globalThis&&globalThis instanceof WorkerGlobalScope&&globalThis),s=Boolean("hidden"===a?.document?.visibilityState),c=/iPad|iPhone|iPod/.test(a.navigator?.userAgent),u=c&&"undefined"==typeof SharedWorker,d=((()=>{const e=a.navigator?.userAgent?.match(/Firefox[/\s](\d+\.\d+)/);Array.isArray(e)&&e.length>=2&&e[1]})(),Date.now()-(0,n.t)())},1687:(e,t,r)=>{"use strict";r.d(t,{Ak:()=>c,Ze:()=>l,x3:()=>u});var n=r(7836),i=r(3606),o=r(860),a=r(2646);const s={};function c(e,t){const r={staged:!1,priority:o.P3[t]||0};d(e),s[e].get(t)||s[e].set(t,r)}function u(e,t){e&&s[e]&&(s[e].get(t)&&s[e].delete(t),g(e,t,!1),s[e].size&&f(e))}function d(e){if(!e)throw new Error("agentIdentifier required");s[e]||(s[e]=new Map)}function l(e="",t="feature",r=!1){if(d(e),!e||!s[e].get(t)||r)return g(e,t);s[e].get(t).staged=!0,f(e)}function f(e){const t=Array.from(s[e]);t.every((([e,t])=>t.staged))&&(t.sort(((e,t)=>e[1].priority-t[1].priority)),t.forEach((([t])=>{s[e].delete(t),g(e,t)})))}function g(e,t,r=!0){const o=e?n.ee.get(e):n.ee,s=i.i.handlers;if(!o.aborted&&o.backlog&&s){if(r){const e=o.backlog[t],r=s[t];if(r){for(let t=0;e&&t<e.length;++t)p(e[t],r);Object.entries(r).forEach((([e,t])=>{Object.values(t||{}).forEach((t=>{t[0]?.on&&t[0]?.context()instanceof a.y&&t[0].on(e,t[1])}))}))}}o.isolatedBacklog||delete s[t],o.backlog[t]=null,o.emit("drain-"+t,[])}}function p(e,t){var r=e[1];Object.values(t[r]||{}).forEach((t=>{var r=e[0];if(t[0]===r){var n=t[1],i=e[3],o=e[2];n.apply(i,o)}}))}},7836:(e,t,r)=>{"use strict";r.d(t,{P:()=>c,ee:()=>u});var n=r(384),i=r(8990),o=r(3371),a=r(2646),s=r(5607);const c="nr@context:".concat(s.W),u=function e(t,r){var n={},s={},d={},l=!1;try{l=16===r.length&&(0,o.f)(r).isolatedBacklog}catch(e){}var f={on:p,addEventListener:p,removeEventListener:function(e,t){var r=n[e];if(!r)return;for(var i=0;i<r.length;i++)r[i]===t&&r.splice(i,1)},emit:function(e,r,n,i,o){!1!==o&&(o=!0);if(u.aborted&&!i)return;t&&o&&t.emit(e,r,n);for(var a=g(n),c=h(e),d=c.length,l=0;l<d;l++)c[l].apply(a,r);var p=m()[s[e]];p&&p.push([f,e,r,a]);return a},get:v,listeners:h,context:g,buffer:function(e,t){const r=m();if(t=t||"feature",f.aborted)return;Object.entries(e||{}).forEach((([e,n])=>{s[n]=t,t in r||(r[t]=[])}))},abort:function(){f._aborted=!0,Object.keys(f.backlog).forEach((e=>{delete f.backlog[e]}))},isBuffering:function(e){return!!m()[s[e]]},debugId:r,backlog:l?{}:t&&"object"==typeof t.backlog?t.backlog:{},isolatedBacklog:l};return Object.defineProperty(f,"aborted",{get:()=>{let e=f._aborted||!1;return e||(t&&(e=t.aborted),e)}}),f;function g(e){return e&&e instanceof a.y?e:e?(0,i.I)(e,c,(()=>new a.y(c))):new a.y(c)}function p(e,t){n[e]=h(e).concat(t)}function h(e){return n[e]||[]}function v(t){return d[t]=d[t]||e(f,t)}function m(){return f.backlog}}(void 0,"globalEE"),d=(0,n.Zm)();d.ee||(d.ee=u)},2646:(e,t,r)=>{"use strict";r.d(t,{y:()=>n});class n{constructor(e){this.contextId=e}}},9908:(e,t,r)=>{"use strict";r.d(t,{d:()=>n,p:()=>i});var n=r(7836).ee.get("handle");function i(e,t,r,i,o){o?(o.buffer([e],i),o.emit(e,t,r)):(n.buffer([e],i),n.emit(e,t,r))}},3606:(e,t,r)=>{"use strict";r.d(t,{i:()=>o});var n=r(9908);o.on=a;var i=o.handlers={};function o(e,t,r,o){a(o||n.d,i,e,t,r)}function a(e,t,r,i,o){o||(o="feature"),e||(e=n.d);var a=t[o]=t[o]||{};(a[r]=a[r]||[]).push([e,i])}},3878:(e,t,r)=>{"use strict";function n(e,t){return{capture:e,passive:!1,signal:t}}function i(e,t,r=!1,i){window.addEventListener(e,t,n(r,i))}function o(e,t,r=!1,i){document.addEventListener(e,t,n(r,i))}r.d(t,{DD:()=>o,jT:()=>n,sp:()=>i})},5607:(e,t,r)=>{"use strict";r.d(t,{W:()=>n});const n=(0,r(9566).bz)()},9566:(e,t,r)=>{"use strict";r.d(t,{LA:()=>s,bz:()=>a});var n=r(6154);const i="xxxxxxxx-xxxx-4xxx-yxxx-xxxxxxxxxxxx";function o(e,t){return e?15&e[t]:16*Math.random()|0}function a(){const e=n.gm?.crypto||n.gm?.msCrypto;let t,r=0;return e&&e.getRandomValues&&(t=e.getRandomValues(new Uint8Array(30))),i.split("").map((e=>"x"===e?o(t,r++).toString(16):"y"===e?(3&o()|8).toString(16):e)).join("")}function s(e){const t=n.gm?.crypto||n.gm?.msCrypto;let r,i=0;t&&t.getRandomValues&&(r=t.getRandomValues(new Uint8Array(e)));const a=[];for(var s=0;s<e;s++)a.push(o(r,i++).toString(16));return a.join("")}},2614:(e,t,r)=>{"use strict";r.d(t,{BB:()=>a,H3:()=>n,g:()=>u,iL:()=>c,tS:()=>s,uh:()=>i,wk:()=>o});const n="NRBA",i="SESSION",o=144e5,a=18e5,s={STARTED:"session-started",PAUSE:"session-pause",RESET:"session-reset",RESUME:"session-resume",UPDATE:"session-update"},c={SAME_TAB:"same-tab",CROSS_TAB:"cross-tab"},u={OFF:0,FULL:1,ERROR:2}},1863:(e,t,r)=>{"use strict";function n(){return Math.floor(performance.now())}r.d(t,{t:()=>n})},944:(e,t,r)=>{"use strict";function n(e,t){"function"==typeof console.debug&&console.debug("New Relic Warning: https://github.com/newrelic/newrelic-browser-agent/blob/main/docs/warning-codes.md#".concat(e),t)}r.d(t,{R:()=>n})},5284:(e,t,r)=>{"use strict";r.d(t,{t:()=>c,B:()=>s});var n=r(7836),i=r(6154);const o="newrelic";const a=new Set,s={};function c(e,t){const r=n.ee.get(t);s[t]??={},e&&"object"==typeof e&&(a.has(t)||(r.emit("rumresp",[e]),s[t]=e,a.add(t),function(e={}){try{i.gm.dispatchEvent(new CustomEvent(o,{detail:e}))}catch(e){}}({loaded:!0})))}},8990:(e,t,r)=>{"use strict";r.d(t,{I:()=>i});var n=Object.prototype.hasOwnProperty;function i(e,t,r){if(n.call(e,t))return e[t];var i=r();if(Object.defineProperty&&Object.keys)try{return Object.defineProperty(e,t,{value:i,writable:!0,enumerable:!1}),i}catch(e){}return e[t]=i,i}},6389:(e,t,r)=>{"use strict";function n(e,t=500,r={}){const n=r?.leading||!1;let i;return(...r)=>{n&&void 0===i&&(e.apply(this,r),i=setTimeout((()=>{i=clearTimeout(i)}),t)),n||(clearTimeout(i),i=setTimeout((()=>{e.apply(this,r)}),t))}}function i(e){let t=!1;return(...r)=>{t||(t=!0,e.apply(this,r))}}r.d(t,{J:()=>i,s:()=>n})},5289:(e,t,r)=>{"use strict";r.d(t,{GG:()=>o,sB:()=>a});var n=r(3878);function i(){return"undefined"==typeof document||"complete"===document.readyState}function o(e,t){if(i())return e();(0,n.sp)("load",e,t)}function a(e){if(i())return e();(0,n.DD)("DOMContentLoaded",e)}},384:(e,t,r)=>{"use strict";r.d(t,{NT:()=>o,US:()=>d,Zm:()=>a,bQ:()=>c,dV:()=>s,nY:()=>u,pV:()=>l});var n=r(6154),i=r(1863);const o={beacon:"bam.nr-data.net",errorBeacon:"bam.nr-data.net"};function a(){return n.gm.NREUM||(n.gm.NREUM={}),void 0===n.gm.newrelic&&(n.gm.newrelic=n.gm.NREUM),n.gm.NREUM}function s(){let e=a();return e.o||(e.o={ST:n.gm.setTimeout,SI:n.gm.setImmediate,CT:n.gm.clearTimeout,XHR:n.gm.XMLHttpRequest,REQ:n.gm.Request,EV:n.gm.Event,PR:n.gm.Promise,MO:n.gm.MutationObserver,FETCH:n.gm.fetch,WS:n.gm.WebSocket}),e}function c(e,t){let r=a();r.initializedAgents??={},t.initializedAt={ms:(0,i.t)(),date:new Date},r.initializedAgents[e]=t}function u(e){let t=a();return t.initializedAgents?.[e]}function d(e,t){a()[e]=t}function l(){return function(){let e=a();const t=e.info||{};e.info={beacon:o.beacon,errorBeacon:o.errorBeacon,...t}}(),function(){let e=a();const t=e.init||{};e.init={...t}}(),s(),function(){let e=a();const t=e.loader_config||{};e.loader_config={...t}}(),a()}},2843:(e,t,r)=>{"use strict";r.d(t,{u:()=>i});var n=r(3878);function i(e,t=!1,r,i){(0,n.DD)("visibilitychange",(function(){if(t)return void("hidden"===document.visibilityState&&e());e(document.visibilityState)}),r,i)}},3434:(e,t,r)=>{"use strict";r.d(t,{YM:()=>c});var n=r(7836),i=r(5607);const o="nr@original:".concat(i.W);var a=Object.prototype.hasOwnProperty,s=!1;function c(e,t){return e||(e=n.ee),r.inPlace=function(e,t,n,i,o){n||(n="");const a="-"===n.charAt(0);for(let s=0;s<t.length;s++){const c=t[s],u=e[c];d(u)||(e[c]=r(u,a?c+n:n,i,c,o))}},r.flag=o,r;function r(t,r,n,s,c){return d(t)?t:(r||(r=""),nrWrapper[o]=t,function(e,t,r){if(Object.defineProperty&&Object.keys)try{return Object.keys(e).forEach((function(r){Object.defineProperty(t,r,{get:function(){return e[r]},set:function(t){return e[r]=t,t}})})),t}catch(e){u([e],r)}for(var n in e)a.call(e,n)&&(t[n]=e[n])}(t,nrWrapper,e),nrWrapper);function nrWrapper(){var o,a,d,l;try{a=this,o=[...arguments],d="function"==typeof n?n(o,a):n||{}}catch(t){u([t,"",[o,a,s],d],e)}i(r+"start",[o,a,s],d,c);try{return l=t.apply(a,o)}catch(e){throw i(r+"err",[o,a,e],d,c),e}finally{i(r+"end",[o,a,l],d,c)}}}function i(r,n,i,o){if(!s||t){var a=s;s=!0;try{e.emit(r,n,i,t,o)}catch(t){u([t,r,n,i],e)}s=a}}}function u(e,t){t||(t=n.ee);try{t.emit("internal-error",e)}catch(e){}}function d(e){return!(e&&"function"==typeof e&&e.apply&&!e[o])}},993:(e,t,r)=>{"use strict";r.d(t,{ET:()=>o,p_:()=>i});var n=r(860);const i={ERROR:"ERROR",WARN:"WARN",INFO:"INFO",DEBUG:"DEBUG",TRACE:"TRACE"},o="log";n.K7.logging},3969:(e,t,r)=>{"use strict";r.d(t,{TZ:()=>n,XG:()=>s,rs:()=>i,xV:()=>a,z_:()=>o});const n=r(860).K7.metrics,i="sm",o="cm",a="storeSupportabilityMetrics",s="storeEventMetrics"},6630:(e,t,r)=>{"use strict";r.d(t,{T:()=>n});const n=r(860).K7.pageViewEvent},782:(e,t,r)=>{"use strict";r.d(t,{T:()=>n});const n=r(860).K7.pageViewTiming},6344:(e,t,r)=>{"use strict";r.d(t,{G4:()=>i});var n=r(2614);r(860).K7.sessionReplay;const i={RECORD:"recordReplay",PAUSE:"pauseReplay",REPLAY_RUNNING:"replayRunning",ERROR_DURING_REPLAY:"errorDuringReplay"};n.g.ERROR,n.g.FULL,n.g.OFF},4234:(e,t,r)=>{"use strict";r.d(t,{W:()=>o});var n=r(7836),i=r(1687);class o{constructor(e,t){this.agentIdentifier=e,this.ee=n.ee.get(e),this.featureName=t,this.blocked=!1}deregisterDrain(){(0,i.x3)(this.agentIdentifier,this.featureName)}}},7603:(e,t,r)=>{"use strict";r.d(t,{j:()=>P});var n=r(860),i=r(2555),o=r(3371),a=r(9908),s=r(7836),c=r(1687),u=r(5289),d=r(6154),l=r(944),f=r(3969),g=r(384),p=r(6344);const h=["setErrorHandler","finished","addToTrace","addRelease","addPageAction","setCurrentRouteName","setPageViewName","setCustomAttribute","interaction","noticeError","setUserId","setApplicationVersion","start",p.G4.RECORD,p.G4.PAUSE,"log","wrapLogger"],v=["setErrorHandler","finished","addToTrace","addRelease"];var m=r(1863),b=r(2614),y=r(993);var w=r(2646),A=r(3434);function R(e,t,r,n){if("object"!=typeof t||!t||"string"!=typeof r||!r||"function"!=typeof t[r])return(0,l.R)(29);const i=function(e){return(e||s.ee).get("logger")}(e),o=(0,A.YM)(i),a=new w.y(s.P);return a.level=n.level,a.customAttributes=n.customAttributes,o.inPlace(t,[r],"wrap-logger-",a),i}function E(){const e=(0,g.pV)();h.forEach((t=>{e[t]=(...r)=>function(t,...r){let n=[];return Object.values(e.initializedAgents).forEach((e=>{e&&e.api?e.exposed&&e.api[t]&&n.push(e.api[t](...r)):(0,l.R)(38,t)})),n.length>1?n:n[0]}(t,...r)}))}const x={};function _(e,t,g=!1){t||(0,c.Ak)(e,"api");const h={};var w=s.ee.get(e),A=w.get("tracer");x[e]=b.g.OFF,w.on(p.G4.REPLAY_RUNNING,(t=>{x[e]=t}));var E="api-",_=E+"ixn-";function N(t,r,n,o){const a=(0,i.Vp)(e);return null===r?delete a.jsAttributes[t]:(0,i.x1)(e,{...a,jsAttributes:{...a.jsAttributes,[t]:r}}),j(E,n,!0,o||null===r?"session":void 0)(t,r)}function T(){}h.log=function(e,{customAttributes:t={},level:r=y.p_.INFO}={}){(0,a.p)(f.xV,["API/log/called"],void 0,n.K7.metrics,w),function(e,t,r={},i=y.p_.INFO){(0,a.p)(f.xV,["API/logging/".concat(i.toLowerCase(),"/called")],void 0,n.K7.metrics,e),(0,a.p)(y.ET,[(0,m.t)(),t,r,i],void 0,n.K7.logging,e)}(w,e,t,r)},h.wrapLogger=(e,t,{customAttributes:r={},level:i=y.p_.INFO}={})=>{(0,a.p)(f.xV,["API/wrapLogger/called"],void 0,n.K7.metrics,w),R(w,e,t,{customAttributes:r,level:i})},v.forEach((e=>{h[e]=j(E,e,!0,"api")})),h.addPageAction=j(E,"addPageAction",!0,n.K7.genericEvents),h.setPageViewName=function(t,r){if("string"==typeof t)return"/"!==t.charAt(0)&&(t="/"+t),(0,o.f)(e).customTransaction=(r||"http://custom.transaction")+t,j(E,"setPageViewName",!0)()},h.setCustomAttribute=function(e,t,r=!1){if("string"==typeof e){if(["string","number","boolean"].includes(typeof t)||null===t)return N(e,t,"setCustomAttribute",r);(0,l.R)(40,typeof t)}else(0,l.R)(39,typeof e)},h.setUserId=function(e){if("string"==typeof e||null===e)return N("enduser.id",e,"setUserId",!0);(0,l.R)(41,typeof e)},h.setApplicationVersion=function(e){if("string"==typeof e||null===e)return N("application.version",e,"setApplicationVersion",!1);(0,l.R)(42,typeof e)},h.start=()=>{try{(0,a.p)(f.xV,["API/start/called"],void 0,n.K7.metrics,w),w.emit("manual-start-all")}catch(e){(0,l.R)(23,e)}},h[p.G4.RECORD]=function(){(0,a.p)(f.xV,["API/recordReplay/called"],void 0,n.K7.metrics,w),(0,a.p)(p.G4.RECORD,[],void 0,n.K7.sessionReplay,w)},h[p.G4.PAUSE]=function(){(0,a.p)(f.xV,["API/pauseReplay/called"],void 0,n.K7.metrics,w),(0,a.p)(p.G4.PAUSE,[],void 0,n.K7.sessionReplay,w)},h.interaction=function(e){return(new T).get("object"==typeof e?e:{})};const S=T.prototype={createTracer:function(e,t){var r={},i=this,o="function"==typeof t;return(0,a.p)(f.xV,["API/createTracer/called"],void 0,n.K7.metrics,w),g||(0,a.p)(_+"tracer",[(0,m.t)(),e,r],i,n.K7.spa,w),function(){if(A.emit((o?"":"no-")+"fn-start",[(0,m.t)(),i,o],r),o)try{return t.apply(this,arguments)}catch(e){const t="string"==typeof e?new Error(e):e;throw A.emit("fn-err",[arguments,this,t],r),t}finally{A.emit("fn-end",[(0,m.t)()],r)}}}};function j(e,t,r,i){return function(){return(0,a.p)(f.xV,["API/"+t+"/called"],void 0,n.K7.metrics,w),i&&(0,a.p)(e+t,[(0,m.t)(),...arguments],r?null:this,i,w),r?void 0:this}}function k(){r.e(296).then(r.bind(r,8778)).then((({setAPI:t})=>{t(e),(0,c.Ze)(e,"api")})).catch((e=>{(0,l.R)(27,e),w.abort()}))}return["actionText","setName","setAttribute","save","ignore","onEnd","getContext","end","get"].forEach((e=>{S[e]=j(_,e,void 0,g?n.K7.softNav:n.K7.spa)})),h.setCurrentRouteName=g?j(_,"routeName",void 0,n.K7.softNav):j(E,"routeName",!0,n.K7.spa),h.noticeError=function(t,r){"string"==typeof t&&(t=new Error(t)),(0,a.p)(f.xV,["API/noticeError/called"],void 0,n.K7.metrics,w),(0,a.p)("err",[t,(0,m.t)(),!1,r,!!x[e]],void 0,n.K7.jserrors,w)},d.RI?(0,u.GG)((()=>k()),!0):k(),h}var N=r(9417),T=r(8122);const S={accountID:void 0,trustKey:void 0,agentID:void 0,licenseKey:void 0,applicationID:void 0,xpid:void 0},j={};var k=r(5284);const I=e=>{const t=e.startsWith("http");e+="/",r.p=t?e:"https://"+e};let O=!1;function P(e,t={},r,n){let{init:a,info:c,loader_config:u,runtime:l={},exposed:f=!0}=t;l.loaderType=r;const p=(0,g.pV)();c||(a=p.init,c=p.info,u=p.loader_config),(0,N.xN)(e.agentIdentifier,a||{}),function(e,t){if(!e)throw new Error("All loader-config objects require an agent identifier!");j[e]=(0,T.a)(t,S);const r=(0,g.nY)(e);r&&(r.loader_config=j[e])}(e.agentIdentifier,u||{}),c.jsAttributes??={},d.bv&&(c.jsAttributes.isWorker=!0),(0,i.x1)(e.agentIdentifier,c);const h=(0,N.D0)(e.agentIdentifier),v=[c.beacon,c.errorBeacon];O||(h.proxy.assets&&(I(h.proxy.assets),v.push(h.proxy.assets)),h.proxy.beacon&&v.push(h.proxy.beacon),E(),(0,g.US)("activatedFeatures",k.B),e.runSoftNavOverSpa&&=!0===h.soft_navigations.enabled&&h.feature_flags.includes("soft_nav")),l.denyList=[...h.ajax.deny_list||[],...h.ajax.block_internal?v:[]],l.ptid=e.agentIdentifier,(0,o.V)(e.agentIdentifier,l),e.ee=s.ee.get(e.agentIdentifier),void 0===e.api&&(e.api=_(e.agentIdentifier,n,e.runSoftNavOverSpa)),void 0===e.exposed&&(e.exposed=f),O=!0}},8374:(e,t,r)=>{r.nc=(()=>{try{return document?.currentScript?.nonce}catch(e){}return""})()},860:(e,t,r)=>{"use strict";r.d(t,{$J:()=>o,K7:()=>n,P3:()=>i});const n={ajax:"ajax",genericEvents:"generic_events",jserrors:"jserrors",logging:"logging",metrics:"metrics",pageAction:"page_action",pageViewEvent:"page_view_event",pageViewTiming:"page_view_timing",sessionReplay:"session_replay",sessionTrace:"session_trace",softNav:"soft_navigations",spa:"spa"},i={[n.pageViewEvent]:1,[n.pageViewTiming]:2,[n.metrics]:3,[n.jserrors]:4,[n.spa]:5,[n.ajax]:6,[n.sessionTrace]:7,[n.softNav]:8,[n.sessionReplay]:9,[n.logging]:10,[n.genericEvents]:11},o={[n.pageViewTiming]:"events",[n.ajax]:"events",[n.spa]:"events",[n.softNav]:"events",[n.metrics]:"jserrors",[n.jserrors]:"jserrors",[n.sessionTrace]:"browser/blobs",[n.sessionReplay]:"browser/blobs",[n.logging]:"browser/logs",[n.genericEvents]:"ins"}}},n={};function i(e){var t=n[e];if(void 0!==t)return t.exports;var o=n[e]={exports:{}};return r[e](o,o.exports,i),o.exports}i.m=r,i.d=(e,t)=>{for(var r in t)i.o(t,r)&&!i.o(e,r)&&Object.defineProperty(e,r,{enumerable:!0,get:t[r]})},i.f={},i.e=e=>Promise.all(Object.keys(i.f).reduce(((t,r)=>(i.f[r](e,t),t)),[])),i.u=e=>"nr-rum-1.274.0.min.js",i.o=(e,t)=>Object.prototype.hasOwnProperty.call(e,t),e={},t="NRBA-1.274.0.PROD:",i.l=(r,n,o,a)=>{if(e[r])e[r].push(n);else{var s,c;if(void 0!==o)for(var u=document.getElementsByTagName("script"),d=0;d<u.length;d++){var l=u[d];if(l.getAttribute("src")==r||l.getAttribute("data-webpack")==t+o){s=l;break}}if(!s){c=!0;var f={296:"sha512-gkYkZDAwQ9PwaDXs2YM+rNIdRej1Ac1mupWobRJ8eahQcXz6/sunGZCKklrzi5kWxhOGRZr2tn0rEKuLTXzfAA=="};(s=document.createElement("script")).charset="utf-8",s.timeout=120,i.nc&&s.setAttribute("nonce",i.nc),s.setAttribute("data-webpack",t+o),s.src=r,0!==s.src.indexOf(window.location.origin+"/")&&(s.crossOrigin="anonymous"),f[a]&&(s.integrity=f[a])}e[r]=[n];var g=(t,n)=>{s.onerror=s.onload=null,clearTimeout(p);var i=e[r];if(delete e[r],s.parentNode&&s.parentNode.removeChild(s),i&&i.forEach((e=>e(n))),t)return t(n)},p=setTimeout(g.bind(null,void 0,{type:"timeout",target:s}),12e4);s.onerror=g.bind(null,s.onerror),s.onload=g.bind(null,s.onload),c&&document.head.appendChild(s)}},i.r=e=>{"undefined"!=typeof Symbol&&Symbol.toStringTag&&Object.defineProperty(e,Symbol.toStringTag,{value:"Module"}),Object.defineProperty(e,"__esModule",{value:!0})},i.p="https://js-agent.newrelic.com/",(()=>{var e={840:0,374:0};i.f.j=(t,r)=>{var n=i.o(e,t)?e[t]:void 0;if(0!==n)if(n)r.push(n[2]);else{var o=new Promise(((r,i)=>n=e[t]=[r,i]));r.push(n[2]=o);var a=i.p+i.u(t),s=new Error;i.l(a,(r=>{if(i.o(e,t)&&(0!==(n=e[t])&&(e[t]=void 0),n)){var o=r&&("load"===r.type?"missing":r.type),a=r&&r.target&&r.target.src;s.message="Loading chunk "+t+" failed.\n("+o+": "+a+")",s.name="ChunkLoadError",s.type=o,s.request=a,n[1](s)}}),"chunk-"+t,t)}};var t=(t,r)=>{var n,o,[a,s,c]=r,u=0;if(a.some((t=>0!==e[t]))){for(n in s)i.o(s,n)&&(i.m[n]=s[n]);if(c)c(i)}for(t&&t(r);u<a.length;u++)o=a[u],i.o(e,o)&&e[o]&&e[o][0](),e[o]=0},r=self["webpackChunk:NRBA-1.274.0.PROD"]=self["webpackChunk:NRBA-1.274.0.PROD"]||[];r.forEach(t.bind(null,0)),r.push=t.bind(null,r.push.bind(r))})(),(()=>{"use strict";i(8374);var e=i(944),t=i(6344),r=i(9566);class n{agentIdentifier;constructor(e=(0,r.LA)(16)){this.agentIdentifier=e}#e(t,...r){if("function"==typeof this.api?.[t])return this.api[t](...r);(0,e.R)(35,t)}addPageAction(e,t){return this.#e("addPageAction",e,t)}setPageViewName(e,t){return this.#e("setPageViewName",e,t)}setCustomAttribute(e,t,r){return this.#e("setCustomAttribute",e,t,r)}noticeError(e,t){return this.#e("noticeError",e,t)}setUserId(e){return this.#e("setUserId",e)}setApplicationVersion(e){return this.#e("setApplicationVersion",e)}setErrorHandler(e){return this.#e("setErrorHandler",e)}addRelease(e,t){return this.#e("addRelease",e,t)}log(e,t){return this.#e("log",e,t)}}class o extends n{#e(t,...r){if("function"==typeof this.api?.[t])return this.api[t](...r);(0,e.R)(35,t)}start(){return this.#e("start")}finished(e){return this.#e("finished",e)}recordReplay(){return this.#e(t.G4.RECORD)}pauseReplay(){return this.#e(t.G4.PAUSE)}addToTrace(e){return this.#e("addToTrace",e)}setCurrentRouteName(e){return this.#e("setCurrentRouteName",e)}interaction(){return this.#e("interaction")}wrapLogger(e,t,r){return this.#e("wrapLogger",e,t,r)}}var a=i(860),s=i(9417);const c=Object.values(a.K7);function u(e){const t={};return c.forEach((r=>{t[r]=function(e,t){return!0===(0,s.gD)(t,"".concat(e,".enabled"))}(r,e)})),t}var d=i(7603);var l=i(1687),f=i(4234),g=i(5289),p=i(6154),h=i(384);const v=e=>p.RI&&!0===(0,s.gD)(e,"privacy.cookies_enabled");function m(e){return!!(0,h.dV)().o.MO&&v(e)&&!0===(0,s.gD)(e,"session_trace.enabled")}var b=i(6389);class y extends f.W{constructor(e,t,r=!0){super(e.agentIdentifier,t),this.auto=r,this.abortHandler=void 0,this.featAggregate=void 0,this.onAggregateImported=void 0,!1===e.init[this.featureName].autoStart&&(this.auto=!1),this.auto?(0,l.Ak)(e.agentIdentifier,t):this.ee.on("manual-start-all",(0,b.J)((()=>{(0,l.Ak)(e.agentIdentifier,this.featureName),this.auto=!0,this.importAggregator(e)})))}importAggregator(t,r={}){if(this.featAggregate||!this.auto)return;let n;this.onAggregateImported=new Promise((e=>{n=e}));const o=async()=>{let o;try{if(v(this.agentIdentifier)){const{setupAgentSession:e}=await i.e(296).then(i.bind(i,3861));o=e(t)}}catch(t){(0,e.R)(20,t),this.ee.emit("internal-error",[t]),this.featureName===a.K7.sessionReplay&&this.abortHandler?.()}try{if(t.sharedAggregator)await t.sharedAggregator;else{t.sharedAggregator=i.e(296).then(i.bind(i,9337));const{EventAggregator:e}=await t.sharedAggregator;t.sharedAggregator=new e}if(!this.#t(this.featureName,o))return(0,l.Ze)(this.agentIdentifier,this.featureName),void n(!1);const{lazyFeatureLoader:e}=await i.e(296).then(i.bind(i,6103)),{Aggregate:a}=await e(this.featureName,"aggregate");this.featAggregate=new a(t,r),n(!0)}catch(t){(0,e.R)(34,t),this.abortHandler?.(),(0,l.Ze)(this.agentIdentifier,this.featureName,!0),n(!1),this.ee&&this.ee.abort()}};p.RI?(0,g.GG)((()=>o()),!0):o()}#t(e,t){switch(e){case a.K7.sessionReplay:return m(this.agentIdentifier)&&!!t;case a.K7.sessionTrace:return!!t;default:return!0}}}var w=i(6630);class A extends y{static featureName=w.T;constructor(e,t=!0){super(e,w.T,t),this.importAggregator(e)}}var R=i(9908),E=i(2843),x=i(3878),_=i(782),N=i(1863);class T extends y{static featureName=_.T;constructor(e,t=!0){super(e,_.T,t),p.RI&&((0,E.u)((()=>(0,R.p)("docHidden",[(0,N.t)()],void 0,_.T,this.ee)),!0),(0,x.sp)("pagehide",(()=>(0,R.p)("winPagehide",[(0,N.t)()],void 0,_.T,this.ee))),this.importAggregator(e))}}var S=i(3969);class j extends y{static featureName=S.TZ;constructor(e,t=!0){super(e,S.TZ,t),this.importAggregator(e)}}new class extends o{constructor(t,r){super(r),p.gm?(this.features={},(0,h.bQ)(this.agentIdentifier,this),this.desiredFeatures=new Set(t.features||[]),this.desiredFeatures.add(A),this.runSoftNavOverSpa=[...this.desiredFeatures].some((e=>e.featureName===a.K7.softNav)),(0,d.j)(this,t,t.loaderType||"agent"),this.run()):(0,e.R)(21)}get config(){return{info:this.info,init:this.init,loader_config:this.loader_config,runtime:this.runtime}}run(){try{const t=u(this.agentIdentifier),r=[...this.desiredFeatures];r.sort(((e,t)=>a.P3[e.featureName]-a.P3[t.featureName])),r.forEach((r=>{if(!t[r.featureName]&&r.featureName!==a.K7.pageViewEvent)return;if(this.runSoftNavOverSpa&&r.featureName===a.K7.spa)return;if(!this.runSoftNavOverSpa&&r.featureName===a.K7.softNav)return;const n=function(e){switch(e){case a.K7.ajax:return[a.K7.jserrors];case a.K7.sessionTrace:return[a.K7.ajax,a.K7.pageViewEvent];case a.K7.sessionReplay:return[a.K7.sessionTrace];case a.K7.pageViewTiming:return[a.K7.pageViewEvent];default:return[]}}(r.featureName).filter((e=>!(e in this.features)));n.length>0&&(0,e.R)(36,{targetFeature:r.featureName,missingDependencies:n}),this.features[r.featureName]=new r(this)}))}catch(t){(0,e.R)(22,t);for(const e in this.features)this.features[e].abortHandler?.();const r=(0,h.Zm)();delete r.initializedAgents[this.agentIdentifier]?.api,delete r.initializedAgents[this.agentIdentifier]?.features,delete this.sharedAggregator;return r.ee.get(this.agentIdentifier).abort(),!1}}}({features:[A,T,j],loaderType:"lite"})})()})();</script> <link rel="icon" href="/themes/custom/finra_bootstrap_sass/favicon.ico" type="image/vnd.microsoft.icon" /> <script>window.a2a_config=window.a2a_config||{};a2a_config.callbacks=[];a2a_config.overlays=[];a2a_config.templates={};a2a_config.exclude_services = [ 'linkedin', 'facebook', 'twitter', 'email', 'amazon_wish_list', 'aol_mail', 'balatarin', 'bibsonomy', 'bitty_browser', 'blogger', 'blogmarks', 'bookmarks_fr', 'box_net', 'buffer', 'citeulike', 'copy_link', 'diary_ru', 'diaspora', 'digg', 'diigo', 'douban', 'draugiem', 'evernote', 'fark', 'flipboard', 'folkd', 'google_gmail', 'google_classroom', 'hacker_news', 'hatena', 'houzz', 'instapaper', 'known', 'line', 'livejournal', 'mail_ru', 'mendeley', 'meneame', 'mewe', 'mixi', 'myspace', 'odnoklassniki', 'outlook_com', 'papaly', 'pinboard', 'pinterest', 'plurk', 'pocket', 'print', 'printfriendly', 'pusha', 'kindle_it', 'qzone', 'rediff', 'refind', 'sina_weibo', 'sitejot', 'skype', 'slashdot', 'sms', 'snapchat', 'svejo', 'symbaloo_bookmarks', 'telegram', 'threema', 'trello', 'tumblr', 'twiddla', 'typepad_post', 'viber', 'vk', 'wechat', 'wordpress', 'wykop', 'xing', 'yahoo_mail', 'yummly' ];</script> <title>For Investors</title> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_7OhJd8Iu9wvGHAOhuKwTYbr7JiGy076F5Z0kS81soGw.css?delta=0&language=en&theme=finra_bootstrap_sass&include=eJyNUdFuwyAM_CEa_mH7EGQS01gBHNnOuvz9SKtulUa0vaCz7jDHXaIqECKzqQmsQUHVj8wL4WXMbaBEIxhxdTBNxlB3_wRDEq7mUjvghsoF_QsebhiPUf8UDDpTcbqrYfERFN2PnwgixP6aOUK-qO2Z6tWlnuv_aHjFqlD1ZAOqgYvCC8o447j4F9y_8hC83wURzVACfq6sOIVEuY3H1ooC-YyGzTjoFgvZ738nltJ_WBGar7fNrFXTVWSo0xGEbitKIp39Nwozf6BQNWz99fiGmku6937CN-9b1B7bqe8INjzD_wKxYPyA" /> <link rel="stylesheet" media="all" href="https://use.fontawesome.com/releases/v5.7.2/css/all.css" /> <link rel="stylesheet" media="all" href="https://use.fontawesome.com/releases/v5.7.2/css/v4-shims.css" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_DFDfCuZHJ1yz6CwEY7xC6fUz0wcXEHkwNPYucun1Kq8.css?delta=3&language=en&theme=finra_bootstrap_sass&include=eJyNUdFuwyAM_CEa_mH7EGQS01gBHNnOuvz9SKtulUa0vaCz7jDHXaIqECKzqQmsQUHVj8wL4WXMbaBEIxhxdTBNxlB3_wRDEq7mUjvghsoF_QsebhiPUf8UDDpTcbqrYfERFN2PnwgixP6aOUK-qO2Z6tWlnuv_aHjFqlD1ZAOqgYvCC8o447j4F9y_8hC83wURzVACfq6sOIVEuY3H1ooC-YyGzTjoFgvZ738nltJ_WBGar7fNrFXTVWSo0xGEbitKIp39Nwozf6BQNWz99fiGmku6937CN-9b1B7bqe8INjzD_wKxYPyA" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_4FlG3mvF_qSrdKztu7pFNjsfHYHRFraOARteqnfNvyE.css?delta=4&language=en&theme=finra_bootstrap_sass&include=eJyNUdFuwyAM_CEa_mH7EGQS01gBHNnOuvz9SKtulUa0vaCz7jDHXaIqECKzqQmsQUHVj8wL4WXMbaBEIxhxdTBNxlB3_wRDEq7mUjvghsoF_QsebhiPUf8UDDpTcbqrYfERFN2PnwgixP6aOUK-qO2Z6tWlnuv_aHjFqlD1ZAOqgYvCC8o447j4F9y_8hC83wURzVACfq6sOIVEuY3H1ooC-YyGzTjoFgvZ738nltJ_WBGar7fNrFXTVWSo0xGEbitKIp39Nwozf6BQNWz99fiGmku6937CN-9b1B7bqe8INjzD_wKxYPyA" /> <link rel="stylesheet" media="all" href="//fonts.googleapis.com/css?family=Open+Sans" /> <link rel="stylesheet" media="all" href="//fonts.googleapis.com/css?family=Open+Sans:300,300i,400,400i,600,600i,700,700i,800,800i" /> <link rel="stylesheet" media="all" href="//use.typekit.net/nba4hvp.css" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_Hz53vo0ojG5MEpJHACj2W6A025WJ30e1vhTdPyylJ-A.css?delta=8&language=en&theme=finra_bootstrap_sass&include=eJyNUdFuwyAM_CEa_mH7EGQS01gBHNnOuvz9SKtulUa0vaCz7jDHXaIqECKzqQmsQUHVj8wL4WXMbaBEIxhxdTBNxlB3_wRDEq7mUjvghsoF_QsebhiPUf8UDDpTcbqrYfERFN2PnwgixP6aOUK-qO2Z6tWlnuv_aHjFqlD1ZAOqgYvCC8o447j4F9y_8hC83wURzVACfq6sOIVEuY3H1ooC-YyGzTjoFgvZ738nltJ_WBGar7fNrFXTVWSo0xGEbitKIp39Nwozf6BQNWz99fiGmku6937CN-9b1B7bqe8INjzD_wKxYPyA" /> </head> <body class="layout-one-sidebar layout-sidebar-second page-node-126766">  <noscript><iframe src="https://www.googletagmanager.com/ns.html?id=GTM-PX5XDBN" height="0" width="0" style="display:none;visibility:hidden"></iframe></noscript>  <a href="#main-content" class="visually-hidden focusable"> Skip to main content </a> <div class="dialog-off-canvas-main-canvas" data-off-canvas-main-canvas> <div id="page-wrapper" class="page--type-custom-landing-page"> <div id="page"> <header id="Finra_homepage_header" class="header" role="banner" aria-label="Site header"> <div class="secondary-new-header"> <div class="secondary-header-row row"> <div class="secondary-menu" id = "desk_menu_sec"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About FINRA" data-drupal-link-system-path="node/135106">About FINRA</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" class="nav-link" aria-labelledby="Careers" data-drupal-link-system-path="node/135166">Careers</a> </li> <li class="nav-item"> <a href="https://brokercheck.finra.org" class="nav-link" aria-labelledby="BrokerCheck">BrokerCheck</a> </li> <li class="nav-item"> <a href="/finra-data" class="nav-link" aria-labelledby="Data" data-drupal-link-system-path="node/180426">Data</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/media-center" class="nav-link" aria-labelledby="Media Center" data-drupal-link-system-path="node/340671">Media Center</a> </li> <li class="nav-item"> <a href="/member-firm-hub" class="nav-link" aria-labelledby="For Firms" data-drupal-link-system-path="node/342121">For Firms</a> </li> </ul> </nav> </section> </div> <div class="top-header-form"> <section class="region region-top-header-form"> <div id="block-finra-bootstrap-sass-loginoverlaynewhomepage-2" data-block-plugin-id="block_content:5f737dd3-a3ee-4d2a-b891-e115158ec6d9" class="block block-block-content block-block-content5f737dd3-a3ee-4d2a-b891-e115158ec6d9"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="test" aria-controls="loginCollapse" aria-expanded="false" data-toggle="collapse" href="#loginCollapse" id="login-icon" role="button"><p><svg xmlns="http://www.w3.org/2000/svg" viewbox="0 0 448 512"><path fill="currentColor" d="M304 128a80 80 0 1 0 -160 0 80 80 0 1 0 160 0zM96 128a128 128 0 1 1 256 0A128 128 0 1 1 96 128zM49.3 464H398.7c-8.9-63.3-63.3-112-129-112H178.3c-65.7 0-120.1 48.7-129 112zM0 482.3C0 383.8 79.8 304 178.3 304h91.4C368.2 304 448 383.8 448 482.3c0 16.4-13.3 29.7-29.7 29.7H29.7C13.3 512 0 498.7 0 482.3z"></path></svg></p></div><div class="collapse" id="loginCollapse"><div class="login-responsive">聽</div><div class="login-row" layout="row"><div class="login-col" layout="col"><p class="login-subtitle"><span>For the Public</span></p><p class="login-title"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1">FINRA DATA</a></p><p class="login-desc">FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Industry Professionals</span></p><p class="login-title"><a href="https://finpro.finra.org/">FINPRO</a></p><p class="login-desc">Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://finpro.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Member Firms</span></p><p class="login-title"><a href="https://gateway.finra.org/">FINRA GATEWAY</a></p><p class="login-desc">Firm compliance professionals can access filings and requests, run reports and submit support tickets.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://gateway.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Case Participants</span></p><p class="login-title"><a href="https://drportal.finra.org/">DR PORTAL</a></p><p class="login-desc">Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://drportal.finra.org/"><span>Login</span></a></div></div></div><div class="login-fourth"><p class="need-help" style="font-size:16px;"><a href="https://tools.finra.org/cc_support/">Need Help?</a> | <a href="/systems-status/">Check System Status</a></p><p class="other-systems" style="font-size:16px;"><a href="/filing-reporting/entitlement/systems">Log In to other FINRA systems</a></p></div></div></div> </div> </div> </section> </div> </div> </div> <div class="finra-container region-second-header"> <div class="row"> <div class="page-header"> <section class="region region-header"> <a href="/" title="Home" rel="home" class="navbar-brand"> <img src="/sites/default/files/Finra_85th_logo_0.png" alt="Home" width="115px" height="42.5px" class="img-fluid d-inline-block align-top" /> </a> </section> </div> <div class="navbar-top"> <nav class="navbar navbar-dark bg-transparent" id="navbar-top"> <div class="header-menus col collapse" id="CollapsingNavbar"> <div class="primary-header-row row"> <div class="primary-menu"> <section class="region region-primary-menu"> <div id="block-finra-bootstrap-sass-finrahomepagenavmegamenusnew" data-block-plugin-id="superfish:finra-homepage-nav-megamenus-new" class="block block-superfish block-superfishfinra-homepage-nav-megamenus-new"> <div class="content"> <ul id="superfish-finra-homepage-nav-megamenus-new" class="menu sf-menu sf-finra-homepage-nav-megamenus-new sf-horizontal sf-style-none"> <li id="finra-homepage-nav-megamenus-new-menu-link-content1b4d9607-2d0a-4ba3-a6e7-4a6b1cbb6e82--2" class="sf-depth-1 header menuparent"><a href="/rules-guidance" class="sf-depth-1 menuparent" aria-labelledby="Rules & Guidance">Rules & Guidance</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2b12b470-c7eb-4690-8fd4-f9b3e24e6e15--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 1">R&G Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content34143c81-286b-4cfe-96fd-1a36a135d75b--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/finra-manual" class="sf-depth-3 menuparent" aria-labelledby="FINRA Manual">FINRA Manual</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3cd026de-017b-44ff-a42c-3d45c4adc2ba--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/rulebooks/updates" class="sf-depth-4" aria-labelledby="Updates">Updates</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcd534a29-dae6-4b27-954d-7f3f6aa5f95a--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/interpreting-rules" class="sf-depth-3 menuparent" aria-labelledby="Interpreting the Rules">Interpreting the Rules</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentbfc59af9-883c-4ce9-9508-07a74a3dbac5--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/notices" class="sf-depth-4" aria-labelledby="Notices">Notices</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta067da24-ce37-43a4-acbd-019db86020de--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/guidance" class="sf-depth-4" aria-labelledby="Guidance">Guidance</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content157e31e2-c14b-4fd7-8e33-01515c4ba0bf--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/guidance/faqs" class="sf-depth-4" aria-labelledby="Frequently Asked Questions">Frequently Asked Questions</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente44c49ed-a2d7-4660-8937-8285e50fc411--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/key-topics" class="sf-depth-4" aria-labelledby="Key Topics">Key Topics</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta7c1dcca-4c7d-437a-a1ab-6f0b1aadb744--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/interpretive-questions" class="sf-depth-4" aria-labelledby="Interpretive Questions">Interpretive Questions</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content16a886d5-41e2-4e4e-820c-8b43ad12cf92--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 2">R&G Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content7bf9ad1b-48c9-46ea-aea1-0c8fedf6e76b--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/rulemaking-process" class="sf-depth-3 menuparent" aria-labelledby="The Rulemaking Process">The Rulemaking Process</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb8cb4dd-cc48-4206-9aa6-8c076743f2b9--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/rule-filings" class="sf-depth-4" aria-labelledby="Rule Filings">Rule Filings</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0435d995-74bd-40da-b86a-40b62d41e5d9--2" class="sf-depth-4 header sf-no-children"><a href="https://tools.finra.org/rule_filings/" class="sf-depth-4 sf-external" aria-labelledby="Rule Filing Status Report">Rule Filing Status Report</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content5e4d2052-7c9f-43be-b9c9-b970f21d78fd--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/requests-for-comments" class="sf-depth-4" aria-labelledby="Requests for Comments">Requests for Comments</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content72741ca5-a482-40a7-ac2e-bfbcdb708594--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/rulebook-consolidation" class="sf-depth-4" aria-labelledby="Rulebook Consolidation">Rulebook Consolidation</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content47861d1e-f84c-48aa-a39c-7a264303694d--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 3">R&G Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content4d3988a6-9d3c-4b49-b08f-5ec10bd2378d--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/adjudication-decisions" class="sf-depth-3 menuparent" aria-labelledby="Adjudications & Decisions">Adjudications & Decisions</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentda0fdb33-e0ea-4e1a-b92c-cf7a90128e9b--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/adjudication-decisions/national-adjudicatory-council-nac" class="sf-depth-4" aria-labelledby="National Adjudicatory Council (NAC)">National Adjudicatory Council (NAC)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf37f3677-c5e1-403d-a87c-288b022fc036--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/adjudication-decisions/office-hearing-officers-oho/about" class="sf-depth-4" aria-labelledby="Office of Hearing Officers (OHO)">Office of Hearing Officers (OHO)</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content14293eb5-673b-4472-95fc-84c7b5a3c532--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 4">R&G Section 4</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contente040ccaf-750c-4e7a-b1ac-b527a3b29bc1--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/enforcement" class="sf-depth-3 menuparent" aria-labelledby="Enforcement">Enforcement</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3160b9d2-e42d-4588-b87c-fdd986d234de--2" class="sf-depth-4 header sf-no-children"><a href="https://www.finra.org/rules-guidance/oversight-enforcement/disciplinary-actions-online" class="sf-depth-4 sf-external" aria-labelledby="Disciplinary Actions Online">Disciplinary Actions Online</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9bc2c3c1-6105-4a43-84e7-d3b87b38bbdd--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/oversight-enforcement/disciplinary-actions" class="sf-depth-4" aria-labelledby="Monthly Disciplinary Actions">Monthly Disciplinary Actions</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentdcdce396-9e20-4fba-9cf9-7c1822af7b43--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/oversight-enforcement/sanction-guidelines" class="sf-depth-4" aria-labelledby="Sanction Guidelines">Sanction Guidelines</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7ae8b495-7bbc-4713-a3d1-393e757a4f7a--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/oversight-Oversight%20%26%20Enforcement/individuals-barred-finra" class="sf-depth-4" aria-labelledby="Individuals Barred by FINRA">Individuals Barred by FINRA</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content568be8c6-2749-4b61-afa4-e1aef3056650--2" class="sf-depth-1 header menuparent"><a href="/registration-exams-ce" class="sf-depth-1 menuparent" aria-labelledby="Registration, Exams & CE">Registration, Exams & CE</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content743dcab1-fa12-4078-9425-f1e5f9d0519a--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration section 1">Registration section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content4e8b3fa4-2b63-4dc6-9b06-3ec58bd3b6d6--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/registration" class="sf-depth-3 menuparent" aria-labelledby="Registration">Registration</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6878ec3-2a37-4286-b0ff-51f38f2ea5fd--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/broker-dealers" class="sf-depth-4" aria-labelledby="Broker Dealers">Broker Dealers</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0ecbf1ea-6ca0-4bc8-8e9b-59e7cba90a62--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/capital-acquisition-brokers" class="sf-depth-4" aria-labelledby="Capital Acquisition Brokers">Capital Acquisition Brokers</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content01963f11-2411-4031-a5c9-8e73580648f3--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/funding-portals" class="sf-depth-4" aria-labelledby="Funding Portals">Funding Portals</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content45b769ff-9b3c-4cbc-befb-79380e5b6014--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/individuals" class="sf-depth-4" aria-labelledby="Individuals">Individuals</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentac0e3bb2-976c-4b6a-8fec-981489a9fdec--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 2">Registration Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content5b603fc0-12c2-44c3-bb60-0db5f114a14f--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/qualification-exams" class="sf-depth-3 menuparent" aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header sf-no-children"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content74de55a6-970c-49a4-877f-6a3cd1584db9--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/classic-crd" class="sf-depth-4" aria-labelledby="Classic CRD">Classic CRD</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc425811e-6944-4643-9a4b-21222d7ed44e--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/finpro" class="sf-depth-4" aria-labelledby="Financial Professional Gateway (FinPro)">Financial Professional Gateway (FinPro)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7afd209b-9193-484a-b160-9705bcd8e250--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/financial-industry-networking-directory" class="sf-depth-4" aria-labelledby="Financial Industry Networking Directory (FIND)">Financial Industry Networking Directory (FIND)</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc47867f6-a419-4633-83aa-9fb4c8d8cda7--2" class="sf-depth-1 header menuparent"><a href="/events-training" class="sf-depth-1 menuparent" aria-labelledby="Events & Training">Events & Training</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/events-training" class="sf-depth-2 menuparent" aria-labelledby="Events & Training Section 1">Events & Training Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf380a1ac-d9fd-45e2-8f15-32b96331c18f--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/conferences-events" class="sf-depth-3" aria-labelledby="Conferences & Events">Conferences & Events</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9abdc27c-9497-426d-be8e-465a10d034ac--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/finra-georgetown" class="sf-depth-3" aria-labelledby="FINRA Institute at Georgetown">FINRA Institute at Georgetown</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content81cc3c6b-ad65-4627-8b34-69f4bb5d3e5e--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/flex" class="sf-depth-3" aria-labelledby="Financial Learning Experience (FLEX)">Financial Learning Experience (FLEX)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8febe617-8873-4d02-aca8-d13df4b6649e--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/small-firms-information/small-firm-report" class="sf-depth-3" aria-labelledby="Small Firm Conference Call">Small Firm Conference Call</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content911c7ec5-023c-4c98-953f-b121ff986fa3--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content318c9740-343f-48dd-a32e-600f8c817211--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/compliance-tools" class="sf-depth-2 menuparent" aria-labelledby="Compliance Tools Section 1">Compliance Tools Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2badcc82-a0ba-4813-a97b-5cde27a154a6--2" class="sf-depth-3 header sf-no-children"><a href="https://www.finra.org/compliance-tools/cybersecurity-checklist" class="sf-depth-3 sf-external" aria-labelledby="Cybersecurity Checklist">Cybersecurity Checklist</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7f6b440c-bc36-49c7-900b-1fe8e36909db--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/compliance-calendar" class="sf-depth-3" aria-labelledby="Compliance Calendar">Compliance Calendar</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente0f11415-45ff-4cf1-925e-cf2b1f5cecf9--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/weekly-archive" class="sf-depth-3" aria-labelledby="Weekly Update Email Archive">Weekly Update Email Archive</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content170de235-7c02-4852-984e-95eef4499125--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/peer-2-peer-compliance-library" class="sf-depth-3" aria-labelledby="Peer-2-Peer Compliance Library">Peer-2-Peer Compliance Library</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8a617041-43a3-43ff-9f58-6a2615970d47--2" class="active-trail sf-depth-1 header menuparent"><a href="/investors" class="is-active sf-depth-1 menuparent" aria-labelledby="For Investors">For Investors</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content955b2de2-2baf-4187-9e39-086c21440220--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="is-active sf-depth-2 menuparent" aria-labelledby="For Investors Section 1">For Investors Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1def6247-9eb1-41f1-a045-bbfc96316e74--2" class="sf-depth-3 header sf-no-children"><a href="/investors/insights" class="sf-depth-3" aria-labelledby="Investor Insights">Investor Insights</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0f5c83d6-0199-481c-bdb8-4215fffb4371--2" class="sf-depth-3 header sf-no-children"><a href="/investors/tools-and-calculators" class="sf-depth-3" aria-labelledby="Tools & Calculators">Tools & Calculators</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content53f5080d-f916-4b0a-942e-129c5cf72090--2" class="sf-depth-3 header menuparent"><a href="/investors/personal-finance" class="sf-depth-3 menuparent" aria-labelledby="Personal Finance">Personal Finance</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content7c320bbc-4fad-463a-97ee-024d99463fca--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/know-your-net-worth" class="sf-depth-4" aria-labelledby="Net Worth">Net Worth</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content26f056cf-1b99-4c9d-a97c-18cc65a4eb22--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/control-spending-calculate-cash-flow" class="sf-depth-4" aria-labelledby="Spending">Spending</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2c662e03-9e1f-4e44-80e6-aba99155f167--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/manage-your-debt" class="sf-depth-4" aria-labelledby="Debt">Debt</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2d5626b5-fe42-47bf-8088-a4996e53f73e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/how-your-credit-score-impacts-your-financial-future" class="sf-depth-4" aria-labelledby="Credit Scores">Credit Scores</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content5388280f-edc8-40b9-a071-e4d109117508--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/start-emergency-fund" class="sf-depth-4" aria-labelledby="Emergency Funds">Emergency Funds</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7d8f8a9d-8b19-4d7e-a8cd-586399b0e4f8--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="is-active sf-depth-2 menuparent" aria-labelledby="For Investors Section 2">For Investors Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content64f29299-b56d-4976-9c4d-c4cd58f933ba--2" class="sf-depth-3 header menuparent"><a href="/investors/investing" class="sf-depth-3 menuparent" aria-labelledby="Investing">Investing</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3d6bebd0-cfbc-4d39-88f9-a401f33f597e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investing-basics" class="sf-depth-4" aria-labelledby="Investing Basics">Investing Basics</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente62ab252-c90e-43eb-b799-328c951f9680--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-products" class="sf-depth-4" aria-labelledby="Investment Products">Investment Products</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content4a8dd42d-00d4-4290-8ed4-e6224956af5f--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-accounts" class="sf-depth-4" aria-labelledby="Investment Accounts">Investment Accounts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf425f2b1-c2f1-4000-9bb7-2233a2298437--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/working-with-investment-professional" class="sf-depth-4" aria-labelledby="Working With an Investment Professional">Working With an Investment Professional</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta983f7d0-3993-4f42-80d8-ed474e986f45--2" class="sf-depth-3 header menuparent"><a href="/investors/protect-your-money" class="sf-depth-3 menuparent" aria-labelledby="Protect Your Money">Protect Your Money</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content84745677-33ee-4917-b6d7-78f2d33ae64a--2" class="sf-depth-4 header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf03d2691-6592-4649-b41d-6652712ef3d0--2" class="active-trail sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="is-active sf-depth-2 menuparent" aria-labelledby="For Investors Section 3">For Investors Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentb0c88306-2bd6-4078-8a56-8766b2affe7f--2" class="sf-depth-3 header sf-no-children"><a href="/investors/military" class="sf-depth-3" aria-labelledby="For the Military">For the Military</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1b13b9ef-e483-4cb3-bce6-a5e1069fc45e--2" class="sf-depth-3 header menuparent"><a href="/investors/need-help" class="sf-depth-3 menuparent" aria-labelledby="Need Help?">Need Help?</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf4bc73f1-2d52-4a24-9c44-7d956273b8fb--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/file-a-complaint" class="sf-depth-4" aria-labelledby="File a Complaint">File a Complaint</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcca58141-8642-401c-acd4-a857dae74c57--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/helpline-seniors" class="sf-depth-4" aria-labelledby="FINRA Securities Helpline for Seniors">FINRA Securities Helpline for Seniors</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentb8670cad-ba33-4aff-a609-45c82362ed80--2" class="sf-depth-4 header sf-no-children"><a href="/arbitration-mediation" class="sf-depth-4" aria-labelledby="Dispute Resolution">Dispute Resolution</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content6b4ead9c-d440-41c5-af0b-aa0f20f66919--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/legitimate-avenues-recovery-investment-losses" class="sf-depth-4" aria-labelledby="Avenues for Recovery of Losses">Avenues for Recovery of Losses</a></li></ol></li></ol></div></li></ol></li></ul></li> </ul> </div> </div> </section> </div> <hr> <div id="mob_menu_sec" class="secondary-menu" style = "display:none"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About FINRA" data-drupal-link-system-path="node/135106">About FINRA</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" class="nav-link" aria-labelledby="Careers" data-drupal-link-system-path="node/135166">Careers</a> </li> <li class="nav-item"> <a href="https://brokercheck.finra.org" class="nav-link" aria-labelledby="BrokerCheck">BrokerCheck</a> </li> <li class="nav-item"> <a href="/finra-data" class="nav-link" aria-labelledby="Data" data-drupal-link-system-path="node/180426">Data</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/media-center" class="nav-link" aria-labelledby="Media Center" data-drupal-link-system-path="node/340671">Media Center</a> </li> <li class="nav-item"> <a href="/member-firm-hub" class="nav-link" aria-labelledby="For Firms" data-drupal-link-system-path="node/342121">For Firms</a> </li> </ul> </nav> </section> <section class="region region-top-header-form"> <div id="block-finra-bootstrap-sass-loginoverlaynewhomepage-2" data-block-plugin-id="block_content:5f737dd3-a3ee-4d2a-b891-e115158ec6d9" class="block block-block-content block-block-content5f737dd3-a3ee-4d2a-b891-e115158ec6d9"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="test" aria-controls="loginCollapse" aria-expanded="false" data-toggle="collapse" href="#loginCollapse" id="login-icon" role="button"><p><svg xmlns="http://www.w3.org/2000/svg" viewbox="0 0 448 512"><path fill="currentColor" d="M304 128a80 80 0 1 0 -160 0 80 80 0 1 0 160 0zM96 128a128 128 0 1 1 256 0A128 128 0 1 1 96 128zM49.3 464H398.7c-8.9-63.3-63.3-112-129-112H178.3c-65.7 0-120.1 48.7-129 112zM0 482.3C0 383.8 79.8 304 178.3 304h91.4C368.2 304 448 383.8 448 482.3c0 16.4-13.3 29.7-29.7 29.7H29.7C13.3 512 0 498.7 0 482.3z"></path></svg></p></div><div class="collapse" id="loginCollapse"><div class="login-responsive">聽</div><div class="login-row" layout="row"><div class="login-col" layout="col"><p class="login-subtitle"><span>For the Public</span></p><p class="login-title"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1">FINRA DATA</a></p><p class="login-desc">FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Industry Professionals</span></p><p class="login-title"><a href="https://finpro.finra.org/">FINPRO</a></p><p class="login-desc">Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://finpro.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Member Firms</span></p><p class="login-title"><a href="https://gateway.finra.org/">FINRA GATEWAY</a></p><p class="login-desc">Firm compliance professionals can access filings and requests, run reports and submit support tickets.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://gateway.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Case Participants</span></p><p class="login-title"><a href="https://drportal.finra.org/">DR PORTAL</a></p><p class="login-desc">Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://drportal.finra.org/"><span>Login</span></a></div></div></div><div class="login-fourth"><p class="need-help" style="font-size:16px;"><a href="https://tools.finra.org/cc_support/">Need Help?</a> | <a href="/systems-status/">Check System Status</a></p><p class="other-systems" style="font-size:16px;"><a href="/filing-reporting/entitlement/systems">Log In to other FINRA systems</a></p></div></div></div> </div> </div> </section> </div> <div class="search-icon-custom"> <div class="wrapper_search"> <input class="custom-landing-search" maxlength="60" type="text" name='search_api_fulltext' placeholder="Search"/> <button><i class="far fa-search" aria-hidden="true" style="color: #0082D1"></i></button> </div> </div> </div> </div> <button class="navbar-toggler navbar-toggler-right" type="button" data-toggle="collapse" data-target="#CollapsingNavbar" aria-controls="CollapsingNavbar" aria-expanded="false" aria-label="Toggle navigation"> <span class="navbar-toggler-icon"></span> <span class="navbar-toggler-icon-mobile"></span> </button> </nav> </div> </div> </div> <div class="finra-container region-primary-title"> <div class="row"> <div class="col"> <section class="offset-lg-3 region region-primary-title"> <div id="block-pagetitle" data-block-plugin-id="page_title_block" class="page-title-block"> <h1 class="page-title">For Investors</h1> </div> </section> </div> </div> </div> </header> <div id="main-wrapper" class="layout-main-wrapper clearfix"> <div id="main" class="container-fluid"> <div class="row row-offcanvas row-offcanvas-left clearfix"> <main class="main-content col main-content-landing" id="content" role="main"> <section class="section"> <a id="main-content" tabindex="-1"></a> <div id="block-finra-bootstrap-sass-system-main" data-block-plugin-id="system_main_block" class="block block-system block-system-main-block"> <div class="content"> <article class="node node--type-custom_landing_page node--view-mode-full clearfix node--promoted"> <div> <div class="landing-wrapper"> <div class="row"> <div class="col"> <div class="image-and-caption"> <div class="image"> <div class="block-region-image"><div data-block-plugin-id="entity_field:node:field_hero_image" class="block block-ctools-block block-entity-fieldnodefield-hero-image"> <div class="content"> <div class="field field--name-field-hero-image field--type-image field--label-hidden field__item"> <img src="/sites/default/files/styles/crop_hero_image/public/2019-05/GettyImages-sb10065735a-014.jpg?h=c1ff765d&itok=OEKpcYUD" width="4923" height="1538" alt="Woman Investor" loading="lazy" class="image-style-crop-hero-image" /> </div> </div> </div> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row landing-content"> <div class="col-xl-3 menu-top"> <div class="nav-spacer menu-sticky sidebar finra-sidebar-first"> <div class="layout--left-nav"> <div onclick="this.classList.toggle('active')" class="d-sm-block d-xl-none left-nav-toggle arrow-down" data-toggle="collapse" data-target=".layout-collapse"> EXPLORE THIS SECTION </div> <div class="left-nav-collapse collapse layout-collapse"> <div class="block-region-left-rail"><nav role="navigation" aria-labelledby="-menu" data-block-plugin-id="system_menu_block:finra-main-navigation" class="block block-menu navigation menu--finra-main-navigation"> <h2 class="sr-only visually-hidden" id="-menu">FINRA Main Navigation</h2> <ul class="clearfix top-level nav navbar-nav"> <li class="nav-item"> <a href="/investors/insights" class="nav-link" aria-labelledby="Investor Insights" data-drupal-link-system-path="node/137001">Investor Insights</a> </li> <li class="nav-item"> <a href="/investors/tools-and-calculators" class="nav-link" aria-labelledby="Tools & Calculators" data-drupal-link-system-path="node/84404">Tools & Calculators</a> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#personal-finance-submenu"></div> <a href="/investors/personal-finance" class="nav-link adjust-for-expando" aria-labelledby="Personal Finance" data-drupal-link-system-path="node/84343">Personal Finance</a> <ul class="menu collapse " id="personal-finance-submenu"> <li class="nav-item"> <a href="/investors/personal-finance/know-your-net-worth" class="nav-link" aria-labelledby="Net Worth" data-drupal-link-system-path="node/10430">Net Worth</a> </li> <li class="nav-item"> <a href="/investors/personal-finance/control-spending-calculate-cash-flow" class="nav-link" aria-labelledby="Spending" data-drupal-link-system-path="node/10422">Spending</a> </li> <li class="nav-item"> <a href="/investors/personal-finance/manage-your-debt" class="nav-link" aria-labelledby="Debt" data-drupal-link-system-path="node/10432">Debt</a> </li> <li class="nav-item"> <a href="/investors/personal-finance/how-your-credit-score-impacts-your-financial-future" class="nav-link" aria-labelledby="Credit Scores" data-drupal-link-system-path="node/10431">Credit Scores</a> </li> <li class="nav-item"> <a href="/investors/personal-finance/start-emergency-fund" class="nav-link" aria-labelledby="Emergency Funds" data-drupal-link-system-path="node/10434">Emergency Funds</a> </li> </ul> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#investing-submenu"></div> <a href="/investors/investing" class="nav-link adjust-for-expando" aria-labelledby="Investing" data-drupal-link-system-path="node/330016">Investing</a> <ul class="menu collapse " id="investing-submenu"> <li class="nav-item"> <a href="/investors/investing/investing-basics" class="nav-link" aria-labelledby="Investing Basics" data-drupal-link-system-path="node/329526">Investing Basics</a> </li> <li class="nav-item"> <a href="/investors/investing/investment-products" class="nav-link" aria-labelledby="Investment Products" data-drupal-link-system-path="node/332246">Investment Products</a> </li> <li class="nav-item"> <a href="/investors/investing/investment-accounts" class="nav-link" aria-labelledby="Investment Accounts" data-drupal-link-system-path="node/334661">Investment Accounts</a> </li> <li class="nav-item"> <a href="/investors/investing/working-with-investment-professional" class="nav-link" aria-labelledby="Working With an Investment Professional" data-drupal-link-system-path="node/340566">Working With an Investment Professional</a> </li> </ul> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#protect-your-money-submenu"></div> <a href="/investors/protect-your-money" class="nav-link adjust-for-expando" aria-labelledby="Protect Your Money" data-drupal-link-system-path="node/136996">Protect Your Money</a> <ul class="menu collapse " id="protect-your-money-submenu"> <li class="nav-item"> <a href="/investors/protect-your-money/ask-and-check" class="nav-link" aria-labelledby="Ask and Check" data-drupal-link-system-path="node/10735">Ask and Check</a> </li> <li class="nav-item"> <a href="/investors/protect-your-money/avoid-fraud" class="nav-link" aria-labelledby="Avoid Fraud" data-drupal-link-system-path="node/9541">Avoid Fraud</a> </li> <li class="nav-item"> <a href="/investors/protect-your-money/protect-your-identity" class="nav-link" aria-labelledby="Protect Your Identity" data-drupal-link-system-path="node/2620">Protect Your Identity</a> </li> </ul> </li> <li class="nav-item"> <a href="/investors/military" class="nav-link" aria-labelledby="For the Military" data-drupal-link-system-path="node/178026">For the Military</a> </li> <li class="nav-item"> <a href="/investors/need-help" class="nav-link" aria-labelledby="Need Help?" data-drupal-link-system-path="node/201146">Need Help?</a> </li> </ul> </nav> <div class="views-exposed-form bef-exposed-form block block-views block-views-exposed-filter-blocksearch-finra-page-1" data-bef-auto-submit-full-form="" data-bef-auto-submit="" data-bef-auto-submit-delay="500" data-drupal-selector="views-exposed-form-search-finra-page-1" data-block-plugin-id="views_exposed_filter_block:search_finra-page_1"> <div class="finra-container"> <div class="content"> <form action="/search" method="get" id="views-exposed-form-search-finra-page-1" accept-charset="UTF-8"> <div class="form-row"> <fieldset class="js-form-item js-form-type-textfield form-type-textfield js-form-item-search-api-fulltext form-item-search-api-fulltext form-group"> <label for="edit-search-api-fulltext">Fulltext search</label> <input data-bef-auto-submit-exclude="" data-drupal-selector="edit-search-api-fulltext" type="text" id="edit-search-api-fulltext" name="search_api_fulltext" value="" size="30" maxlength="128" class="form-control" /> </fieldset> <div data-drupal-selector="edit-actions" class="form-actions js-form-wrapper form-group" id="edit-actions"><input data-bef-auto-submit-click="" data-drupal-selector="edit-submit-search-finra" type="submit" id="edit-submit-search-finra" value="Search" class="button js-form-submit form-submit btn btn-primary" /> </div> </div> </form> </div> </div> </div> </div> </div> </div> </div> <div class="image-and-caption i-c-responsive"> <div class="hero-caption"> For Investors </div> <div class="image"> <div class="block-region-image"><div data-block-plugin-id="entity_field:node:field_hero_image" class="block block-ctools-block block-entity-fieldnodefield-hero-image"> <div class="content"> <div class="field field--name-field-hero-image field--type-image field--label-hidden field__item"> <img src="/sites/default/files/styles/crop_hero_image/public/2019-05/GettyImages-sb10065735a-014.jpg?h=c1ff765d&itok=OEKpcYUD" width="4923" height="1538" alt="Woman Investor" loading="lazy" class="image-style-crop-hero-image" /> </div> </div> </div> </div> </div> </div> </div> <div class="col-xl-9 main-body"> <div class="row"> <div class="hero-caption"> For Investors </div> <div class="block-region-top"><div data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p>FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals鈥攁nd we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask.</p> <p>We also provide tools and calculators to help you make informed financial decisions鈥攁nd we show you the steps to safeguard those investments and where to turn if a problem occurs.</p> <p>Enjoy the journey. And if you鈥檙e new to investing, or just need a tune up, our <a href="/investors/investing/investing-basics">Investing Basics</a> section is a great place to start.</p> <div class="column-container"> <div style="margin-top:2em; padding:1em; border: 1px solid #ddd;"> <p class="text-align-center"><img src="https://www.finrafoundation.org/sites/finrafoundation/themes/finrafoundation/logo.png" /></p> <p class="text-align-center"><img src="/sites/default/files/SIE_Student_assist.jpg" width="640px" /></p> <p>Established in 2003 by the Financial Industry Regulatory Authority, the FINRA Investor Education Foundation empowers underserved Americans with the knowledge, skills and tools to make sound financial decisions throughout life.</p> <p>The Foundation accomplishes this mission through educational programs and research that help consumers achieve their financial goals and that protect them in a complex and dynamic world.</p> <p class="more-link"><a href="https://www.finrafoundation.org">Visit the FINRA Foundation Website</a></p> </div> </div> </div> </div> </div> </div> </div> <div class="row"> <div class="col-lg"> <div class="block-region-middle"></div> </div> </div> <div class="layout--sidebar"> <div class="row sidecar-row"> <div id="layout--sidecar" class="col-lg layout--sidecar"> <div class="block-region-widget-block"> <div id="brokercheck-block__sidecar"> <img class="brokercheck-block__logo" alt="BrokerCheck" src="/themes/custom/finra_bootstrap_sass/images/brokercheck_logo.png"/> <p class="brokercheck-block__text">Check the background of an investment professional or firm.</p> <div id="fnrwwidget"><div class="bc"></div></div> <p class="brokercheck-block__text">By clicking on a match or otherwise using BrokerCheck庐 I agree to BrokerCheck庐 <a href="https://brokercheck.finra.org/terms" target="_blank">Terms of Use.</a></p> </div> </div> </div> </div> <div class="row"> <div class="col-lg layout--right-nav"> <div class="block-region-right-rail"><div data-block-plugin-id="block_content:ff73cc43-ad56-49bc-8cc7-4cd5c7694cc6" class="block block-block-content block-block-contentff73cc43-ad56-49bc-8cc7-4cd5c7694cc6"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><h2>Investor Favorites</h2><p><a href="/fundanalyzer">Fund Analyzer</a></p><hr /><p><a href="/finra-data/fixed-income">Fixed Income Data</a></p><hr /><p><a href="https://finra-markets.morningstar.com/MarketData/Default.jsp">Market Data Center</a></p><hr /><p><a href="/investors/free-investor-publications">Publications</a></p></div> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div class="row"> <div class="col-lg"> <div class="row finra-container"> </div> <div class="row finra-container"> </div> <div class="row"> </div> <div class="row"> </div> <div class="row"> </div> </div> </div> </div> </div> </article> </div> </div> </section> </main> </div> </div> </div> <footer id="FINRA_footer" class="site-footer"> <div class="container-fluid"> <section class="region region-footer-highlight"> <div id="block-footerhighlight" data-block-plugin-id="block_content:13129ca4-9a12-445a-8240-396c465d4de4" class="block block-block-content block-block-content13129ca4-9a12-445a-8240-396c465d4de4"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="footer-highlight-content--wrapper"><div class="highlight-text"><p class="arbitration-title">ARBITRATION & MEDIATION</p><p class="arbitration-desc">FINRA operates the largest securities dispute resolution forum in the United States</p></div><div class="learn-more-btn"><a class="footer-link" href="/arbitration-mediation"><span>Learn More</span></a></div></div></div> </div> </div> </section> <div class="finra-footer--brand"> <section class="region region-footer-brand"> <a href="/" title="Home" rel="home" class="navbar-brand"> <img src="/themes/custom/finra_bootstrap_sass/images/FINRA_Logo.svg" alt="Home"> </a> </section> </div> <div class="finra-footer--menus-wrapper"> <div class="finra-footer--menus"> <div class="finra-footer-links"> <section class=" -4 region region-footer-first"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-2-menu" id="block-finrautilitymenu-2" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-2-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu-2" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About FINRA" data-drupal-link-system-path="node/135106">About FINRA</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" class="nav-link" aria-labelledby="Careers" data-drupal-link-system-path="node/135166">Careers</a> </li> <li class="nav-item"> <a href="https://brokercheck.finra.org" class="nav-link" aria-labelledby="BrokerCheck">BrokerCheck</a> </li> <li class="nav-item"> <a href="/finra-data" class="nav-link" aria-labelledby="Data" data-drupal-link-system-path="node/180426">Data</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/media-center" class="nav-link" aria-labelledby="Media Center" data-drupal-link-system-path="node/340671">Media Center</a> </li> <li class="nav-item"> <a href="/member-firm-hub" class="nav-link" aria-labelledby="For Firms" data-drupal-link-system-path="node/342121">For Firms</a> </li> </ul> </nav> <nav role="navigation" aria-labelledby="block-finramainnavigation-3-menu" id="block-finramainnavigation-3" data-block-plugin-id="system_menu_block:finra-main-navigation" class="block block-menu navigation menu--finra-main-navigation"> <h2 class="sr-only visually-hidden" id="block-finramainnavigation-3-menu">FINRA Main Navigation</h2> <ul id="block-finramainnavigation-3" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/rules-guidance" class="nav-link" aria-labelledby="Rules & Guidance" data-drupal-link-system-path="node/105256">Rules & Guidance</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/registration-exams-ce" class="nav-link" aria-labelledby="Registration, Exams & CE" data-drupal-link-system-path="node/126826">Registration, Exams & CE</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/events-training" class="nav-link" aria-labelledby="Events & Training" data-drupal-link-system-path="node/105306">Events & Training</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/filing-reporting" class="nav-link" aria-labelledby="Filing & Reporting" data-drupal-link-system-path="node/135036">Filing & Reporting</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/compliance-tools" class="nav-link" aria-labelledby="Compliance Tools" data-drupal-link-system-path="node/136611">Compliance Tools</a> </li> <li class="nav-item menu-item--collapsed menu-item--active-trail"> <a href="/investors" class="nav-link active is-active" aria-labelledby="For Investors" data-drupal-link-system-path="node/126766">For Investors</a> </li> </ul> </nav> </section> </div> <div class="finra-footer--contacts-menus"> <div class="region region-footer-second"> <section class="-lg-5 -md-12 -sm-12 region region-footer-second"> <div id="block-footercontacts1" data-block-plugin-id="block_content:c0b288c4-fa43-4f28-869e-1e7dbba541f9" class="block block-block-content block-block-contentc0b288c4-fa43-4f28-869e-1e7dbba541f9"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="contact-item"><p><a class="footer-link" href="/contact-finra/">General Inquiries</a></p><p><span>301-590-6500</span></p></div><div class="contact-item"><p><a class="footer-link" href="/investors/have-a-problem/helpline-seniors">Securities Helpline for Seniors<sup>庐</sup></a></p><p><span>844-574-3577 (Mon-Fri 9am-5pm ET)</span></p></div><div class="contact-item"><p><a class="footer-link" href="/contact-finra/file-tip">File a Regulatory Tip</a></p><p><span>To report on abuse or fraud in the industry</span></p></div></div> </div> </div> </section> </div> <div class="region region-footer-third"> <section class="-lg-5 -md-12 -sm-12 region region-footer-third"> <div id="block-footercontacts2" data-block-plugin-id="block_content:0d011e02-69eb-47fd-994a-587fbeb7b81e" class="block block-block-content block-block-content0d011e02-69eb-47fd-994a-587fbeb7b81e"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="contact-item"><p><a class="footer-link" href="/investors/need-help/file-a-complaint">File an Investor Complaint</a></p><p><span>File a complaint about fraud or unfair practices.</span></p></div><div class="contact-item"><p><a class="footer-link" href="/compliance-tools/finra-small-firm-helpline">Small Firm Help Line</a></p><p><span>833-26-FINRA (Mon-Fri 9am-6pm ET)</span></p></div><div class="contact-item"><p><a class="footer-link" href="/about/office-ombuds">Office of the Ombuds</a></p><p><span>Report a concern about FINRA at 888-700-0028</span></p></div></div> </div> </div> </section> <section class="col-lg-5 order-lg-12 order-md-1 order-sm region region-footer-sixth"> <div id="block-finrasociallinks" data-block-plugin-id="block_content:79395185-afca-4832-b562-50b574a57497" class="block block-block-content block-block-content79395185-afca-4832-b562-50b574a57497"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div> <p> <a href="https://www.twitter.com/finra" aria-label="X"><span class="fontawesome-icon-inline"><span class="twitter-x-icon"></span></span></a> <a href="https://www.linkedin.com/company/finra/" aria-label="linkedin"><span alt="LinkedIn" class="fontawesome-icon-inline"><span class="fa-2x fa-linkedin fab"></span></span></a> <a href="https://www.facebook.com/FinancialIndustryRegulatoryAuthority/" aria-label="facebook"><span alt="Facebook" class="fontawesome-icon-inline"><span class="fa-2x fa-facebook fab"></span></span></a> <a href="https://www.instagram.com/_finra" aria-label="Instagram"><span class="fontawesome-icon-inline"><span class="fa-2x fab fa-instagram"></span></span></a> <a href="https://www.youtube.com/@finra" aria-label="YouTube"><span class="fontawesome-icon-inline"><span class="fa-2x fa-youtube fab"></span></span></a> </p> </div></div> </div> </div> </section> </div> <div class="region region-footer-fifth"> <div id="block-finrasociallinks1"> <section class="col-lg-5 order-lg-12 order-md-1 order-sm region region-footer-sixth"> <div id="block-finrasociallinks" data-block-plugin-id="block_content:79395185-afca-4832-b562-50b574a57497" class="block block-block-content block-block-content79395185-afca-4832-b562-50b574a57497"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div> <p> <a href="https://www.twitter.com/finra" aria-label="X"><span class="fontawesome-icon-inline"><span class="twitter-x-icon"></span></span></a> <a href="https://www.linkedin.com/company/finra/" aria-label="linkedin"><span alt="LinkedIn" class="fontawesome-icon-inline"><span class="fa-2x fa-linkedin fab"></span></span></a> <a href="https://www.facebook.com/FinancialIndustryRegulatoryAuthority/" aria-label="facebook"><span alt="Facebook" class="fontawesome-icon-inline"><span class="fa-2x fa-facebook fab"></span></span></a> <a href="https://www.instagram.com/_finra" aria-label="Instagram"><span class="fontawesome-icon-inline"><span class="fa-2x fab fa-instagram"></span></span></a> <a href="https://www.youtube.com/@finra" aria-label="YouTube"><span class="fontawesome-icon-inline"><span class="fa-2x fa-youtube fab"></span></span></a> </p> </div></div> </div> </div> </section> </div> </div> </div> </div> </div> <div class="finra-footer--trademarks"> <section class="-lg-7 order-lg-1 order-md-12 order-sm region region-footer-seventh"> <nav role="navigation" aria-labelledby="block-footerlegallinks-menu" id="block-footerlegallinks" data-block-plugin-id="system_menu_block:footer-legal-links" class="block block-menu navigation menu--footer-legal-links"> <h2 class="sr-only visually-hidden" id="block-footerlegallinks-menu">Footer Legal Links</h2> <ul id="block-footerlegallinks" class="clearfix nav navbar-nav"> <li class="nav-item"> <a href="/site-map" class="nav-link" aria-labelledby="Site Map" data-drupal-link-system-path="node/139246">Site Map</a> </li> <li class="nav-item"> <a href="/privacy-policy" class="nav-link" aria-labelledby="Privacy Policy" data-drupal-link-system-path="node/135876">Privacy Policy</a> </li> <li class="nav-item"> <a href="/terms-of-use" class="nav-link" aria-labelledby="Terms of Use" data-drupal-link-system-path="node/139951">Terms of Use</a> </li> <li class="nav-item"> <a href="/translate" class="nav-link" aria-labelledby="Translate" data-drupal-link-system-path="node/343381">Translate</a> </li> <li class="nav-item"> <a href="/contact-finra" class="nav-link" aria-labelledby="Contact Us" data-drupal-link-system-path="node/135416">Contact Us</a> </li> </ul> </nav> <div id="block-finracopyright" data-block-plugin-id="block_content:150cdc5c-6b33-477b-95ac-565605bddbb3" class="block block-block-content block-block-content150cdc5c-6b33-477b-95ac-565605bddbb3"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p class="all-rights-reserved">漏 2024 FINRA. All Rights Reserved.</p><p class="trademark">FINRA is a Registered Trademark of the Financial Industry Regulatory Authority, INC.</p></div> </div> </div> </section> </div> </div> </footer> </div> </div> </div> <script type="application/json" data-drupal-selector="drupal-settings-json">{"path":{"baseUrl":"\/","scriptPath":null,"pathPrefix":"","currentPath":"node\/126766","currentPathIsAdmin":false,"isFront":false,"currentLanguage":"en"},"pluralDelimiter":"\u0003","suppressDeprecationErrors":true,"ajaxPageState":{"libraries":"addtoany\/addtoany.front,better_exposed_filters\/auto_submit,better_exposed_filters\/general,bootstrap_barrio\/form,bootstrap_barrio\/gesta_opensans,bootstrap_barrio\/global-styling,brokercheck\/brokercheck,finra_bootstrap_sass\/brokerCheck,finra_bootstrap_sass\/cookie-classification,finra_bootstrap_sass\/gesta,finra_bootstrap_sass\/global-styling,finra_bootstrap_sass\/landing,finra_bootstrap_sass\/opensans,finra_bootstrap_sass\/searchButton,fontawesome\/fontawesome.webfonts,fontawesome\/fontawesome.webfonts.shim,superfish\/superfish,superfish\/superfish_hoverintent,superfish\/superfish_supersubs,superfish\/superfish_supposition,system\/base","theme":"finra_bootstrap_sass","theme_token":null},"ajaxTrustedUrl":{"\/search":true},"superfish":{"superfish-finra-homepage-nav-megamenus-new":{"id":"superfish-finra-homepage-nav-megamenus-new","sf":{"animation":{"opacity":"show","height":"show"},"speed":"slow","autoArrows":false},"plugins":{"supposition":true,"supersubs":{"minWidth":15,"maxWidth":20}}}},"elasticSearch":{"url":"https:\/\/searchapi.dev.finra.org\/search"},"ajax":[],"user":{"uid":0,"permissionsHash":"ef4ef46b952a8b96490e7d7d475bd2d7a84872de21be94cdc109b583b7dab4d9"}}</script> <script src="/core/assets/vendor/jquery/jquery.min.js?v=3.7.0"></script> <script src="/core/assets/vendor/once/once.min.js?v=1.0.1"></script> <script src="/core/misc/drupalSettingsLoader.js?v=10.1.8"></script> <script src="/core/misc/drupal.js?v=10.1.8"></script> <script src="/core/misc/drupal.init.js?v=10.1.8"></script> <script src="/core/misc/debounce.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/version-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/data-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/disable-selection-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/form-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/jquery-patch-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/scroll-parent-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/unique-id-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/focusable-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/ie-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/keycode-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/plugin-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/safe-active-element-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/safe-blur-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widget-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/labels-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/controlgroup-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/form-reset-mixin-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/mouse-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/checkboxradio-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/draggable-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/resizable-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/button-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/dialog-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/tabbable/index.umd.min.js?v=6.1.2"></script> <script src="/themes/custom/finra_bootstrap_sass/js/cookie-preferences.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/cookie-banner-config.js?snddqv"></script> <script src="https://static.addtoany.com/menu/page.js" async></script> <script src="/modules/contrib/addtoany/js/addtoany.js?v=10.1.8"></script> <script src="/core/misc/progress.js?v=10.1.8"></script> <script src="/core/assets/vendor/loadjs/loadjs.min.js?v=4.2.0"></script> <script src="/core/misc/announce.js?v=10.1.8"></script> <script src="/core/misc/message.js?v=10.1.8"></script> <script src="/core/misc/ajax.js?v=10.1.8"></script> <script src="/core/misc/displace.js?v=10.1.8"></script> <script src="/core/misc/jquery.tabbable.shim.js?v=10.1.8"></script> <script src="/core/misc/position.js?v=10.1.8"></script> <script src="/core/misc/dialog/dialog.js?v=10.1.8"></script> <script src="/core/misc/dialog/dialog.position.js?v=10.1.8"></script> <script src="/core/misc/dialog/dialog.jquery-ui.js?v=10.1.8"></script> <script src="/core/modules/ckeditor5/js/ckeditor5.dialog.fix.js?v=10.1.8"></script> <script src="/modules/custom/finra_cvent_block/js/cvent_widget_handler.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/popper.min.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/bootstrap-multiselect.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/bootstrap.min.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/global.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/breadcrumb.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/odometer.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/transactionWidget.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/finra-core-functions.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/flag_change.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/sidebar.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/embed_whitespace.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/node_modules/%40fortawesome/fontawesome-pro/js/all.min.js?snddqv"></script> <script src="/modules/custom/brokercheck/js/manifest84d1ba20002130288650.js?snddqv"></script> <script src="/modules/custom/brokercheck/js/vendora6769881869623dc5096.js?snddqv"></script> <script src="/modules/custom/brokercheck/js/bundleaee2a93483a206e09af9.js?snddqv"></script> <script src="/modules/custom/brokercheck/js/bdca3ee6876a3c4b2319705.js?snddqv"></script> <script src="/modules/custom/brokercheck/js/utils.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/brokerCheck.js?snddqv"></script> <script src="/modules/contrib/better_exposed_filters/js/better_exposed_filters.js?v=4.x"></script> <script src="/modules/contrib/better_exposed_filters/js/auto_submit.js?v=4.x"></script> <script src="/themes/custom/finra_bootstrap_sass/js/searchButton.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/landing.js?snddqv"></script> <script src="/libraries/drupal-superfish/superfish.js?snddqv"></script> <script src="/libraries/drupal-superfish/jquery.hoverIntent.minified.js?snddqv"></script> <script src="/libraries/drupal-superfish/supposition.js?snddqv"></script> <script src="/libraries/drupal-superfish/supersubs.js?snddqv"></script> <script src="/modules/contrib/superfish/js/superfish.js?v=2.0"></script> <script type="text/javascript">window.NREUM||(NREUM={});NREUM.info={"beacon":"bam.nr-data.net","licenseKey":"d7b664b4b4","applicationID":"486102969","transactionName":"YF0DMkEAWRcAARddC1kXIAVHCFgKTiYRQRRWVD0IXAVSOCINDUAWWFQNA0E9eQsFBzVdAUB7DghHE1gIDQcRGVpBUQQR","queueTime":1,"applicationTime":1564,"atts":"TBoARAkaShk=","errorBeacon":"bam.nr-data.net","agent":""}</script><script>(function(){function c(){var b=a.contentDocument||a.contentWindow.document;if(b){var d=b.createElement('script');d.innerHTML="window.__CF$cv$params={r:'8e750b898c5f8207',t:'MTczMjQwNTY1NS4wMDAwMDA='};var a=document.createElement('script');a.nonce='';a.src='/cdn-cgi/challenge-platform/scripts/jsd/main.js';document.getElementsByTagName('head')[0].appendChild(a);";b.getElementsByTagName('head')[0].appendChild(d)}}if(document.body){var a=document.createElement('iframe');a.height=1;a.width=1;a.style.position='absolute';a.style.top=0;a.style.left=0;a.style.border='none';a.style.visibility='hidden';document.body.appendChild(a);if('loading'!==document.readyState)c();else if(window.addEventListener)document.addEventListener('DOMContentLoaded',c);else{var e=document.onreadystatechange||function(){};document.onreadystatechange=function(b){e(b);'loading'!==document.readyState&&(document.onreadystatechange=e,c())}}}})();</script></body> </html>