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="Keep informed about new or complex products, scams and other investing issues." /> <link rel="canonical" href="https://www.finra.org/investors/insights" /> <link rel="image_src" href="https://www.finra.org/sites/default/files/2023-12/finra-logo.png" /> <meta name="google" content="p6aFpyERRdC4Ror_K0mTRRtXKjAsz35RTQl_MDv_nNg" /> <meta property="og:title" content="Investor Insights" /> <meta property="og:description" content="Keep informed about new or complex products, scams and other investing issues." /> <meta property="og:image" content="https://www.finra.org/sites/default/files/2023-12/finra-logo.png" /> <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>Investor Insights | FINRA.org</title> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_wR-lKbqacf-0lo-2jho_i3aEoe381ByfTpIKd4vwdSs.css?delta=0&language=en&theme=finra_bootstrap_sass&include=eJyNUu1uwyAMfCEaHmbS_kYGTOsNMLJJu-zpR9J0H2q67Y91Z5_g8BGpCIyOuWkTqKOCqvXMr4QHnzqhSB4acTEQQmMos72BIQqXZmIvcEHljPYbHi7oFqp_CgY9UTY6a8NsHSiaLz8ORIjtMbGDdNA2JypHE_dc_0fDFYtC0QcnoDYwZ8KL2rUOmcOUup8E77N1xAO8wNsPxdp45EcVZH5edMZhaygjvlVWDGOk1OlyZUGBdP_iyJKNP3VxsUGmCmm4sq05JnL2Cgeven-AE4TgZcrO6FRRIunJfqLxxGcUKg17gnvzjrpTWpN_MO_-J6d7050Al9WOv68faj2EuUAmfxCsLO1hjoKec8YSMDwlCii3iJa64cQQNlg5zX3jaaPrx06k7TYWzqS3mAXihvoHrR8wIz72" /> <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=eJyNUu1uwyAMfCEaHmbS_kYGTOsNMLJJu-zpR9J0H2q67Y91Z5_g8BGpCIyOuWkTqKOCqvXMr4QHnzqhSB4acTEQQmMos72BIQqXZmIvcEHljPYbHi7oFqp_CgY9UTY6a8NsHSiaLz8ORIjtMbGDdNA2JypHE_dc_0fDFYtC0QcnoDYwZ8KL2rUOmcOUup8E77N1xAO8wNsPxdp45EcVZH5edMZhaygjvlVWDGOk1OlyZUGBdP_iyJKNP3VxsUGmCmm4sq05JnL2Cgeven-AE4TgZcrO6FRRIunJfqLxxGcUKg17gnvzjrpTWpN_MO_-J6d7050Al9WOv68faj2EuUAmfxCsLO1hjoKec8YSMDwlCii3iJa64cQQNlg5zX3jaaPrx06k7TYWzqS3mAXihvoHrR8wIz72" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_4FlG3mvF_qSrdKztu7pFNjsfHYHRFraOARteqnfNvyE.css?delta=4&language=en&theme=finra_bootstrap_sass&include=eJyNUu1uwyAMfCEaHmbS_kYGTOsNMLJJu-zpR9J0H2q67Y91Z5_g8BGpCIyOuWkTqKOCqvXMr4QHnzqhSB4acTEQQmMos72BIQqXZmIvcEHljPYbHi7oFqp_CgY9UTY6a8NsHSiaLz8ORIjtMbGDdNA2JypHE_dc_0fDFYtC0QcnoDYwZ8KL2rUOmcOUup8E77N1xAO8wNsPxdp45EcVZH5edMZhaygjvlVWDGOk1OlyZUGBdP_iyJKNP3VxsUGmCmm4sq05JnL2Cgeven-AE4TgZcrO6FRRIunJfqLxxGcUKg17gnvzjrpTWpN_MO_-J6d7050Al9WOv68faj2EuUAmfxCsLO1hjoKec8YSMDwlCii3iJa64cQQNlg5zX3jaaPrx06k7TYWzqS3mAXihvoHrR8wIz72" /> <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_uBr-ZixgM_gwvWmuNzHNmSMK9D5dUrZ2kNr0iADWlwQ.css?delta=8&language=en&theme=finra_bootstrap_sass&include=eJyNUu1uwyAMfCEaHmbS_kYGTOsNMLJJu-zpR9J0H2q67Y91Z5_g8BGpCIyOuWkTqKOCqvXMr4QHnzqhSB4acTEQQmMos72BIQqXZmIvcEHljPYbHi7oFqp_CgY9UTY6a8NsHSiaLz8ORIjtMbGDdNA2JypHE_dc_0fDFYtC0QcnoDYwZ8KL2rUOmcOUup8E77N1xAO8wNsPxdp45EcVZH5edMZhaygjvlVWDGOk1OlyZUGBdP_iyJKNP3VxsUGmCmm4sq05JnL2Cgeven-AE4TgZcrO6FRRIunJfqLxxGcUKg17gnvzjrpTWpN_MO_-J6d7050Al9WOv68faj2EuUAmfxCsLO1hjoKec8YSMDwlCii3iJa64cQQNlg5zX3jaaPrx06k7TYWzqS3mAXihvoHrR8wIz72" /> </head> <body class="layout-two-sidebars page-node-137001">  <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-article"> <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"> </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="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="active-trail sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="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="active-trail sf-depth-3 header sf-no-children"><a href="/investors/insights" class="is-active 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="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="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="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"> </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"> </section> </div> </div> </div> </header> <div id="main-wrapper" class="layout-main-wrapper clearfix"> <div id="main" class="container-fluid finra-container"> <section class="row"> <div class="col-lg-7 specific-crumbs region region-breadcrumb"> <div id="block-finra-bootstrap-sass-breadcrumbs" data-block-plugin-id="system_breadcrumb_block" class="breadcrumbs__container"> <nav role="navigation" aria-label="breadcrumb" style=""> <ol class="breadcrumb"> <li class="breadcrumb-item"> <a href="/investors">For Investors</a> </li> </ol> </nav> </div> </div> </section> <div class="row row-offcanvas row-offcanvas-left clearfix"> <div class="sidebar col-lg-3 finra-sidebar-first menu-top" id="sidebar_first"> <aside class="section menu-sticky" role="complementary"> <div class="layout--left-nav"> <div onclick="this.classList.toggle('active')" class="d-sm-block d-lg-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"> <nav role="navigation" aria-labelledby="block-finramainnavigation-2-menu" id="block-finramainnavigation-2" 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-2-menu">FINRA Main Navigation</h2> <ul id="block-finramainnavigation-2" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--active-trail"> <a href="/investors/insights" class="nav-link active is-active" 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> </div> </aside> </div> <main class="main-content col" 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-article node--view-mode-full clearfix node--promoted"> <div> <div class="layout layout--twocol-bricks"> <div class="row"> <div class="layout__region layout__region--top col-md-12"> <div class="block-region-top"><div data-block-plugin-id="entity_field:node:title" class="block block-ctools-block block-entity-fieldnodetitle"> <div class="content"> <span class="field field--name-title field--type-string field--label-hidden"><h1>Investor Insights</h1></span> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--middle col-md-12"> <div class="block-region-middle"><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"></div> </div> </div> <div class="views-element-container block block-views block-views-blockalert-investor-insights-block-3" data-block-plugin-id="views_block:alert_investor_insights-block_3"> <div class="content"> <div><div class="view view-alert-investor-insights view-id-alert_investor_insights view-display-id-block_3 js-view-dom-id-898864863a0d2c03cdc2051c262982148af7d2e5ffce9fde960c99bc0fb03433"> <div class="view-filters"> <form class="views-exposed-form bef-exposed-form" data-drupal-selector="views-exposed-form-alert-investor-insights-block-3" action="/investors/insights" method="get" id="views-exposed-form-alert-investor-insights-block-3" accept-charset="UTF-8"> <div class="views-exposed-form bef-exposed-form form-row" data-drupal-selector="views-exposed-form-alert-investor-insights-block-3"> <fieldset class="js-form-item js-form-type-textfield form-type-textfield js-form-item-combine form-item-combine form-group"> <label for="edit-combine">Keywords</label> <input data-drupal-selector="edit-combine" type="text" id="edit-combine" name="combine" value="" size="30" maxlength="128" class="form-control" /> </fieldset> <fieldset class="js-form-item js-form-type-select form-type-select js-form-item-field-core-invest-issue-tax-target-id form-item-field-core-invest-issue-tax-target-id form-group"> <label for="edit-field-core-invest-issue-tax-target-id">Insight Topic</label> <select data-placeholder="Filter by Topic" data-drupal-selector="edit-field-core-invest-issue-tax-target-id" multiple="multiple" name="field_core_invest_issue_tax_target_id[]" id="edit-field-core-invest-issue-tax-target-id" size="9" class="form-select form-control"><option value="4776">401(k)s</option><option value="4786">529 College Savings Plan Expense Analyzer</option><option value="4785">529 Plans</option><option value="4608">Alternative and Complex Investments</option><option value="152116">Alternative and Emerging Products</option><option value="151951">Annuities</option><option value="4799">Annuities & Insurance</option><option value="4724">Arbitration & Mediation</option><option value="4749">Asset Allocation</option><option value="151911">Asset Allocation and Diversification</option><option value="151906">Asset Allocation, Diversification and Rebalancing</option><option value="151946">Avoid Fraud</option><option value="148441">Bond Facts</option><option value="148576">Bond Funds</option><option value="3758">Bonds</option><option value="4725">Brokerage Accounts</option><option value="4736">BrokerCheck</option><option value="164066">Brokers</option><option value="166051">Buying and Selling</option><option value="148386">Choosing an Investment Professional</option><option value="4804">Commodities</option><option value="11">Complaints</option><option value="148476">Crowdfunding</option><option value="4968">Cryptocurrencies</option><option value="4601">Cybersecurity</option><option value="15">Day Trading</option><option value="107">Debt</option><option value="4805">Derivatives</option><option value="148481">Digital Assets</option><option value="4751">Diversification</option><option value="4767">Emergency Funds</option><option value="166376">Evaluating Performance</option><option value="165846">Evite el Fraude</option><option value="148586">Exchange-Traded Funds (ETFs)</option><option value="151851">Exchange-Traded Funds and Products</option><option value="4731">Fees and Expenses</option><option value="4768">Financial Capability</option><option value="4752">Financial Goalsetting</option><option value="4836">Financial Literacy</option><option value="4596">Financial Markets</option><option value="4735">Financial Professionals</option><option value="4844">FINRA Foundation</option><option value="148396">FINTECH</option><option value="165951">Fixed Income</option><option value="165946">Fixed Income Data</option><option value="148526">Foreign Exchange (ForEx)</option><option value="205">Fraud</option><option value="4791">Fund Analyzer</option><option value="151856">Futures and Commodities</option><option value="148406">Harmed Investors</option><option value="4604">Identity Theft</option><option value="4967">Initial Coin Offerings</option><option value="164126">Insurance</option><option value="4748">Investing</option><option value="151956">Investing Basics</option><option value="163946">Investment Accounts</option><option value="166201">Investment Accounts</option><option value="148486">Investment Funds</option><option value="166196">Investment Goals</option><option value="84">Investment Performance</option><option value="151961">Investment Products</option><option value="151">Investment Professionals</option><option value="166">Investment Risk</option><option value="4754">Investor Tips</option><option value="4779">IRAs</option><option value="4771">Job Loss</option><option value="166211">Managing Credit and Debt</option><option value="6">Margin and Borrowing</option><option value="151776">Military & Money</option><option value="165531">Military Community</option><option value="4819">Millennials and Money</option><option value="4809">Mutual Funds</option><option value="236">Opening a Brokerage Account</option><option value="4810">Options</option><option value="4599">Personal Finance</option><option value="4833">Precious Metals</option><option value="148571">Private Placements</option><option value="148566">Professional Designations</option><option value="151941">Protect Your Identity</option><option value="4847">Protect Your Money</option><option value="148541">Public Offerings / IPOs</option><option value="4813">Real Estate Investment Trusts (REITS)</option><option value="4781">Required Minimum Distributions</option><option value="4774">Retirement</option><option value="165911">Retirement Accounts</option><option value="276">Retirement Income</option><option value="4783">Retirement Tips</option><option value="131">Saving for College</option><option value="148401">Saving for Education</option><option value="86">Saving for Retirement</option><option value="4747">Scams</option><option value="4787">Securities Helpline for Seniors</option><option value="4839">Senior Investors</option><option value="4788">SIPC Protection</option><option value="4775">Social Security</option><option value="4815">Stocks</option><option value="4842">Student Loans</option><option value="4605">Taxes</option><option value="4789">Tools & Calculators</option><option value="108">Trading Securities</option><option value="4797">Types of Investments</option><option value="148411">Volatility</option><option value="164216">Working with an Investment Professional</option></select> </fieldset> <div data-drupal-selector="edit-actions" class="form-actions js-form-wrapper form-group" id="edit-actions"><input data-drupal-selector="edit-submit-alert-investor-insights" type="submit" id="edit-submit-alert-investor-insights" value="Apply" class="button js-form-submit form-submit btn btn-primary" /> </div> </div> </form> </div> <div class="view-content"> <div class="views-view-grid horizontal cols-2 clearfix col"> <div class="views-row clearfix row"> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/checking-trade-confirmations"> <img src="/sites/default/files/2024-11/iStock-1397496424-640.jpg" width="1254" height="598" alt="Are You Checking Your Trade Confirmations?" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Investment Accounts </div> <div class="article--teaser-title"> Are You Checking Your Trade Confirmations? </div> </div> </a> </div></span></div> </div> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/how-mergers-acquisitions-impact-investors"> <img src="/sites/default/files/2024-11/shutterstock_271906976.jpg" width="1000" height="667" alt="Mergers and Acquisitions" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Stocks </div> <div class="article--teaser-title"> How Mergers and Acquisitions Impact Investors </div> </div> </a> </div></span></div> </div> </div> <div class="views-row clearfix row"> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/guide-to-equity-sectors"> <img src="/sites/default/files/2024-11/GettyImages-469646268.jpg" width="724" height="483" alt="Stock Taxonomy" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Stocks </div> <div class="article--teaser-title"> A Guide to Equity Market Sectors </div> </div> </a> </div></span></div> </div> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/online-trade-lifecycle"> <img src="/sites/default/files/2024-11/iStock-1462936293-640.jpg" width="1253" height="592" alt="How Online Stock Trading Works: Understanding the Trade Lifecycle" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Buying and Selling </div> <div class="article--teaser-title"> How Online Stock Trading Works: Understanding the Trade Lifecycle </div> </div> </a> </div></span></div> </div> </div> <div class="views-row clearfix row"> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/sim-swapping-risks"> <img src="/sites/default/files/2024-10/iStock-2105194551-640.jpg" width="1254" height="592" alt="SIM Swapping Risks to Investors" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Avoid Fraud </div> <div class="article--teaser-title"> SIM Swapping Risks to Investors </div> </div> </a> </div></span></div> </div> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/questions-employees-should-ask-stock-awards"> <img src="/sites/default/files/2024-10/GettyImages-152955327-640.jpg" width="600" height="284" alt="Questions Employees Should Ask About Stock Awards" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Stocks </div> <div class="article--teaser-title"> Questions Employees Should Ask About Stock Awards </div> </div> </a> </div></span></div> </div> </div> <div class="views-row clearfix row"> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/things-to-do-boost-retirement-savings"> <img src="/sites/default/files/core_desktop/Retirement-Savings_880x445.jpg" width="640" height="301" alt="Retirement Savings" title="Retirement Savings" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Investment Accounts </div> <div class="article--teaser-title"> 5 Things to Do to Boost Retirement Savings </div> </div> </a> </div></span></div> </div> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/institutional-investors-and-smart-money"> <img src="/sites/default/files/2024-10/shutterstock_296533292-640.jpg" width="1000" height="471" alt="Institutional Investors and ‘Smart Money’" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Investing </div> <div class="article--teaser-title"> Institutional Investors and ‘Smart Money’ </div> </div> </a> </div></span></div> </div> </div> <div class="views-row clearfix row"> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/know-your-risk-tolerance"> <img src="/sites/default/files/2024-10/iStock-1364371014-640.jpg" width="1365" height="644" alt="Know Your Risk Tolerance" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Investing </div> <div class="article--teaser-title"> Know Your Risk Tolerance </div> </div> </a> </div></span></div> </div> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/world-investor-week-2024"> <img src="/sites/default/files/2023-09/hero-globe-istock-1301717390-880x415.png" width="880" height="415" alt="Financial Background" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Investing </div> <div class="article--teaser-title"> Investor Bulletin—Technology and Digital Finance: World Investor Week 2024 </div> </div> </a> </div></span></div> </div> </div> <div class="views-row clearfix row"> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/baby-bonds-know-before-investing"> <img src="/sites/default/files/2024-10/iStock-2162337722-640.jpg" width="1254" height="592" alt="Baby Bonds: What to Know Before Investing" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Fixed Income </div> <div class="article--teaser-title"> Baby Bonds: What to Know Before Investing </div> </div> </a> </div></span></div> </div> <div class="views-col col-lg-6"> <div class="views-field views-field-nothing"><span class="field-content"><div class="podcast-header--image article--teaser-image"> <a href="/investors/insights/beware-dormant-shell-companies"> <img src="/sites/default/files/2024-09/iStock-1059661940-640.jpg" width="1257" height="593" alt="Six Tips to Avoiding Shell Company Fraud" loading="lazy" /> <div class="overlay--text"> <div class="article--teaser-category"> Avoid Fraud </div> <div class="article--teaser-title"> Six Tips to Avoiding Shell Company Fraud </div> </div> </a> </div></span></div> </div> </div> </div> </div> <nav aria-label="pagination-heading"> <h4 id="pagination-heading" class="visually-hidden">Pagination</h4> <ul class="pagination js-pager__items"> <li class="page-item active"> <span class="page-link">1</span> </li> <li class="page-item "> <a href="?page=1" title="" class="page-link">2</a> </li> <li class="page-item "> <a href="?page=2" title="" class="page-link">3</a> </li> <li class="page-item "> <a href="?page=3" title="" class="page-link">4</a> </li> <li class="page-item "> <a href="?page=4" title="" class="page-link">5</a> </li> <li class="page-item "> <a href="?page=5" title="" class="page-link">6</a> </li> <li class="page-item "> <a href="?page=6" title="" class="page-link">7</a> </li> <li class="page-item "> <a href="?page=7" title="" class="page-link">8</a> </li> <li class="page-item "> <a href="?page=8" title="" class="page-link">9</a> </li> <li class="page-item" role="presentation"><span class="page-link">…</span></li> <li class="page-item"> <a href="?page=1" title="Go to next page" rel="next" class="page-link"> <span aria-hidden="true">Next ›</span> <span class="visually-hidden">Next page</span> </a> </li> <li class="page-item"> <a href="?page=16" title="Go to last page" class="page-link"> <span aria-hidden="true">Last »</span> <span class="visually-hidden">Last page</span> </a> </li> </ul> </nav> </div> </div> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--bottom col-md-12"> <div class="block-region-bottom"></div> </div> </div> </div> </div> </article> </div> </div> </section> </main> <div class="sidebar col-lg-2 finra-sidebar-second"> <aside class="section" role="complementary"> <section class="layout--right-nav region region-sidebar-second"> <div id="block-investoreducationrightraillinks" data-block-plugin-id="block_content:53904924-4a09-4753-a492-55e1489c76db" class="block block-block-content block-block-content53904924-4a09-4753-a492-55e1489c76db"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><h2>TOOLS & CALCULATORS</h2> <p><a href="/investors/investing/investing-basics/smart-investing-courses" target="_blank">Smart Investing Courses</a></p> <hr /><p><a href="https://finra-markets.morningstar.com/MarketData/Default.jsp" target="_blank">Market Data Center</a></p> <hr /><p><a href="/finra-data/fixed-income" target="_blank">Fixed Income Data</a></p> <hr /><p><a href="https://brokercheck.finra.org/" target="_blank">BrokerCheck</a></p> <hr /><p><a href="/fundanalyzer" target="_blank">Fund Analyzer</a></p> <p class="more-link" style="padding-top:0.5em;"><a href="/investors/tools-and-calculators" target="_blank">View All</a></p> </div> </div> </div> </section> </aside> </div> </div> </div> </div> <div id = "article-columns" class="adjustable-columns"> <div class="full-width finra-container"> <section class="row region region-full-width"> <div class="views-element-container block block-views block-views-blockalert-investor-insights-block-5" id="block-views-block-alert-investor-insights-block-5" data-block-plugin-id="views_block:alert_investor_insights-block_5"> <div class="content"> <div><div class="view view-alert-investor-insights view-id-alert_investor_insights view-display-id-block_5 js-view-dom-id-37e43880f3c692309b58a60c3210a37cccd0432b172e14e729a2f80b8c932b5a"> <div class="view-content"> <div class="slider-recommended__wrapper newsroom-slider__wrapper view-slider slider-recommended__3"> <div class="slider-recommended__arrows container"> <div class="slider-recommended__previous">Recent Investor Insights</div> <div class="slider-recommended__next"></div> </div> <div class="js-slider-recommended slider-recommended container"> <div class="slide-recommended"> <div class="slide-recommended__image_wrapper"> <div class="slide-recommended__image"> <div data-b-token="b-e6e8fd6753d" class="media media--blazy media--image is-b-loading"><img alt="Are You Checking Your Trade Confirmations?" decoding="async" class="media__element b-lazy" loading="lazy" data-src="/sites/default/files/2024-11/iStock-1397496424-640.jpg" src="data:image/svg+xml;charset=utf-8,%3Csvg%20xmlns%3D'https%3A%2F%2Fwww.w3.org%2F2000%2Fsvg'%20viewBox%3D'0%200%201%201'%2F%3E" width="1254" height="598" /> </div> </div> </div> <div class="slide-recommended__content"> <h4 class="slide-recommended__title"><a href="/investors/insights/checking-trade-confirmations" hreflang="en">Are You Checking Your Trade Confirmations?</a></h4> <div class="slide-recommended__timestamp"><time datetime="2024-11-21T12:00:00Z" class="datetime">November 21, 2024</time> </div> </div> </div> <div class="slide-recommended"> <div class="slide-recommended__image_wrapper"> <div class="slide-recommended__image"> <div data-b-token="b-7ecb66df115" class="media media--blazy media--image is-b-loading"><img alt="Mergers and Acquisitions" decoding="async" class="media__element b-lazy" loading="lazy" data-src="/sites/default/files/2024-11/shutterstock_271906976.jpg" src="data:image/svg+xml;charset=utf-8,%3Csvg%20xmlns%3D'https%3A%2F%2Fwww.w3.org%2F2000%2Fsvg'%20viewBox%3D'0%200%201%201'%2F%3E" width="1000" height="667" /> </div> </div> </div> <div class="slide-recommended__content"> <h4 class="slide-recommended__title"><a href="/investors/insights/how-mergers-acquisitions-impact-investors" hreflang="en">How Mergers and Acquisitions Impact Investors</a></h4> <div class="slide-recommended__timestamp"><time datetime="2024-11-15T12:00:00Z" class="datetime">November 15, 2024</time> </div> </div> </div> <div class="slide-recommended"> <div class="slide-recommended__image_wrapper"> <div class="slide-recommended__image"> <div data-b-token="b-c6f79f6a0bd" class="media media--blazy media--image is-b-loading"><img alt="Stock Taxonomy" decoding="async" class="media__element b-lazy" loading="lazy" data-src="/sites/default/files/2024-11/GettyImages-469646268.jpg" src="data:image/svg+xml;charset=utf-8,%3Csvg%20xmlns%3D'https%3A%2F%2Fwww.w3.org%2F2000%2Fsvg'%20viewBox%3D'0%200%201%201'%2F%3E" width="724" height="483" /> </div> </div> </div> <div class="slide-recommended__content"> <h4 class="slide-recommended__title"><a href="/investors/insights/guide-to-equity-sectors" hreflang="en">A Guide to Equity Market Sectors </a></h4> <div class="slide-recommended__timestamp"><time datetime="2024-11-07T12:00:00Z" class="datetime">November 07, 2024</time> </div> </div> </div> <div class="slide-recommended"> <div class="slide-recommended__image_wrapper"> <div class="slide-recommended__image"> <div data-b-token="b-36ab1cb9827" class="media media--blazy media--image is-b-loading"><img alt="How Online Stock Trading Works: Understanding the Trade Lifecycle" decoding="async" class="media__element b-lazy" loading="lazy" data-src="/sites/default/files/2024-11/iStock-1462936293-640.jpg" src="data:image/svg+xml;charset=utf-8,%3Csvg%20xmlns%3D'https%3A%2F%2Fwww.w3.org%2F2000%2Fsvg'%20viewBox%3D'0%200%201%201'%2F%3E" width="1253" height="592" /> </div> </div> </div> <div class="slide-recommended__content"> <h4 class="slide-recommended__title"><a href="/investors/insights/online-trade-lifecycle" hreflang="und">How Online Stock Trading Works: Understanding the Trade Lifecycle</a></h4> <div class="slide-recommended__timestamp"><time datetime="2024-11-05T12:00:00Z" class="datetime">November 05, 2024</time> </div> </div> </div> <div class="slide-recommended"> <div class="slide-recommended__image_wrapper"> <div class="slide-recommended__image"> <div data-b-token="b-5616bd78510" class="media media--blazy media--image is-b-loading"><img alt="SIM Swapping Risks to Investors" decoding="async" class="media__element b-lazy" loading="lazy" data-src="/sites/default/files/2024-10/iStock-2105194551-640.jpg" src="data:image/svg+xml;charset=utf-8,%3Csvg%20xmlns%3D'https%3A%2F%2Fwww.w3.org%2F2000%2Fsvg'%20viewBox%3D'0%200%201%201'%2F%3E" width="1254" height="592" /> </div> </div> </div> <div class="slide-recommended__content"> <h4 class="slide-recommended__title"><a href="/investors/insights/sim-swapping-risks" hreflang="en">SIM Swapping Risks to Investors</a></h4> <div class="slide-recommended__timestamp"><time datetime="2024-10-29T12:00:00Z" class="datetime">October 29, 2024</time> </div> </div> </div> <div class="slide-recommended newsroom-slide__see-more"> <div class="slide-recommended__noimage"> <svg id="slide-recommended__mask"> <defs> <clipPath id="clip-square"> <polygon points="0 0, 360 0, 360 252, 285 252, 285 187, 0 187" /> </clipPath> </defs> </svg> </div> <div class="slide-recommended__content"> <div class="more-link"><a href="/investors/insights">View All</a></div> </div> </div> </div> </div> </div> </div> </div> </div> </div> </section> </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" 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>®</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">© 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\/137001","currentPathIsAdmin":false,"isFront":false,"currentLanguage":"en"},"pluralDelimiter":"\u0003","suppressDeprecationErrors":true,"ajaxPageState":{"libraries":"addtoany\/addtoany.front,better_exposed_filters\/general,blazy\/bio.ajax,blazy\/blazy,blazy\/classlist,blazy\/load,blazy\/polyfill,blazy\/promise,blazy\/raf,blazy\/webp,bootstrap_barrio\/breadcrumb,bootstrap_barrio\/form,bootstrap_barrio\/gesta_opensans,bootstrap_barrio\/global-styling,chosen\/drupal.chosen,chosen_lib\/chosen.css,finra_bootstrap_sass\/app-dynamic-reporting,finra_bootstrap_sass\/cookie-classification,finra_bootstrap_sass\/gesta,finra_bootstrap_sass\/global-styling,finra_bootstrap_sass\/glossaryViews,finra_bootstrap_sass\/opensans,finra_bootstrap_sass\/recommendedSlider,fontawesome\/fontawesome.webfonts,fontawesome\/fontawesome.webfonts.shim,superfish\/superfish,superfish\/superfish_hoverintent,superfish\/superfish_supersubs,superfish\/superfish_supposition,system\/base,views\/views.ajax,views\/views.module","theme":"finra_bootstrap_sass","theme_token":null},"ajaxTrustedUrl":{"\/investors\/insights":true},"views":{"ajax_path":"\/views\/ajax","ajaxViews":{"views_dom_id:898864863a0d2c03cdc2051c262982148af7d2e5ffce9fde960c99bc0fb03433":{"view_name":"alert_investor_insights","view_display_id":"block_3","view_args":"","view_path":"\/node\/137001","view_base_path":null,"view_dom_id":"898864863a0d2c03cdc2051c262982148af7d2e5ffce9fde960c99bc0fb03433","pager_element":0},"views_dom_id:37e43880f3c692309b58a60c3210a37cccd0432b172e14e729a2f80b8c932b5a":{"view_name":"alert_investor_insights","view_display_id":"block_5","view_args":"","view_path":"\/node\/137001","view_base_path":null,"view_dom_id":"37e43880f3c692309b58a60c3210a37cccd0432b172e14e729a2f80b8c932b5a","pager_element":0}}},"chosen":{"selector":"select[id*=\u0022edit-field\u0022]:visible, select[id*=\u0022edit-config\u0022]:visible, select[id*=\u0022edit-options-value\u0022]:visible,select[id*=\u0022edit-options-fields\u0022]:visible,select[id=\u0022edit-node-ids\u0022],select[id*=\u0022edit-custom\u0022]","minimum_single":0,"minimum_multiple":0,"minimum_width":0,"use_relative_width":false,"options":{"disable_search":false,"disable_search_threshold":0,"allow_single_deselect":false,"search_contains":true,"placeholder_text_multiple":"Choose some options","placeholder_text_single":"Choose an option","no_results_text":"No results match","max_shown_results":null,"inherit_select_classes":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"},"alert_investor_insights":{"slides":3,"dots":false,"infinite":false},"blazy":{"loadInvisible":false,"offset":100,"saveViewportOffsetDelay":50,"validateDelay":25,"loader":true,"unblazy":false,"visibleClass":false},"blazyIo":{"disconnect":false,"rootMargin":"0px","threshold":[0,0.25,0.5,0.75,1]},"ajax":[],"user":{"uid":0,"permissionsHash":"ef4ef46b952a8b96490e7d7d475bd2d7a84872de21be94cdc109b583b7dab4d9"}}</script> <script src="/modules/contrib/blazy/js/polyfill/blazy.polyfill.min.js?snddqv"></script> <script src="/core/assets/vendor/jquery/jquery.min.js?v=3.7.0"></script> <script src="/modules/contrib/blazy/js/polyfill/blazy.classlist.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/polyfill/blazy.promise.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/polyfill/blazy.raf.min.js?snddqv"></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="/modules/contrib/blazy/js/dblazy.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.once.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.sanitizer.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.dom.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/base/blazy.base.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.dataset.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.viewport.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.xlazy.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.observer.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/plugin/blazy.loading.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/polyfill/blazy.webp.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/base/blazy.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/base/io/bio.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/base/io/bio.media.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/base/blazy.drupal.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/blazy.load.min.js?snddqv"></script> <script src="/modules/contrib/blazy/js/blazy.compat.min.js?snddqv"></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/contrib/blazy/js/base/io/bio.ajax.min.js?snddqv"></script> <script src="/core/assets/vendor/jquery-form/jquery.form.min.js?v=4.3.0"></script> <script src="/core/modules/views/js/base.js?v=10.1.8"></script> <script src="/core/modules/views/js/ajax_view.js?v=10.1.8"></script> <script src="/themes/custom/finra_bootstrap_sass/js/glossary-view.js?snddqv"></script> <script src="/modules/contrib/better_exposed_filters/js/better_exposed_filters.js?v=4.x"></script> <script src="/libraries/chosen/chosen.jquery.min.js?v=2.2.1"></script> <script src="/modules/contrib/chosen/js/chosen.js?v=1.7.0"></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 src="https://ddwa-cdn-us-east-1.ddwa.finra.org/ctl-common/ctl-common.js"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/ctl-grid/ctl-grid.js"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/app-dynamic-reporting/app-dynamic-reporting.js"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/ctl-common/assets/icons/pro-light-svg-icons/faSearch.js"></script> <script src="/themes/custom/finra_bootstrap_sass/js/slick.min.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/recommendedSlider.js?snddqv"></script> <script type="text/javascript">window.NREUM||(NREUM={});NREUM.info={"beacon":"bam.nr-data.net","licenseKey":"d7b664b4b4","applicationID":"486102969","transactionName":"YF0DMkEAWRcAARddC1kXIAVHCFgKTiYRQRRWVD0IXAVSOCINDUAWWFQNA0E9eQsFBzVdAUB7DghHE1gIDQcRGVpBUQQR","queueTime":3,"applicationTime":581,"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:'8e744cb45d855683',t:'MTczMjM5NzgzNy4wMDAwMDA='};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>