Skip to main content

FINRA Utility Menu

  • About Us
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms

 

For the Public

FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

Login

For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

Login

For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

Login

For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

Login

Need Help? | Check System Status

Log In to other FINRA systems

Home
  • Rules & Guidance
      1. R&G Section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G Section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
      3. R&G Section 3
        1. Adjudications & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      4. R&G Section 4
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
          1. Broker Dealers
          2. Capital Acquisition Brokers
          3. Funding Portals
          4. Individuals
      2. Registration Section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
          2. Series 7
        2. Continuing Education (CE)
          1. View a Regulatory Element Learning Plan
      3. Registration Section 3
        1. Registration Systems
          1. Classic CRD
          2. Financial Professional Gateway (FinPro)
          3. Financial Industry Networking Directory (FIND)
  • Events & Training
      1. Events & Training Section 1
        1. Conferences & Events
        2. FINRA Institute at Georgetown
        3. Financial Learning Experience (FLEX)
        4. Small Firm Conference Call
        5. Webinars
  • Filing & Reporting
      1. Filing & Reporting Section 1
        1. FINRA Gateway
        2. Systems Status
        3. Entitlement Program
        4. Market Transparency Reporting Tools
        5. Regulatory Filing Systems
        6. Data Transfer Tools
        7. E-Bill
  • Compliance Tools
      1. Compliance Tools Section 1
        1. Cybersecurity Checklist
        2. Compliance Calendar
        3. Weekly Update Email Archive
        4. Peer-2-Peer Compliance Library
  • For Investors
      1. For Investors Section 1
        1. Investor Insights
        2. Tools & Calculators
        3. Personal Finance
          1. Net Worth
          2. Spending
          3. Debt
          4. Credit Scores
          5. Emergency Funds
      2. For Investors Section 2
        1. Investing
          1. Investing Basics
          2. Investment Products
          3. Investment Accounts
          4. Working With an Investment Professional
        2. Protect Your Money
          1. Investor Alerts
          2. Ask and Check
          3. Avoid Fraud
          4. Protect Your Identity
      3. For Investors Section 3
        1. For the Military
        2. Need Help?
          1. File a Complaint
          2. FINRA Securities Helpline for Seniors
          3. Dispute Resolution
          4. Avenues for Recovery of Losses

FINRA Utility Menu

  • About Us
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms

 

For the Public

FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

Login

For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

Login

For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

Login

For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

Login

Need Help? | Check System Status

Log In to other FINRA systems

  1. Filing & Reporting
EXPLORE THIS SECTION

FINRA Main Navigation

  • FINRA Gateway
  • Systems Status
  • Entitlement Program
  • Market Transparency Reporting Tools
  • Regulatory Filing Systems
  • Data Transfer Tools
  • E-Bill

ADF Technical Notices

Title Date
Reminder - Equity Short Sale Validations August 17, 2018
Reminder - FINRA Changes to FIX Trade Reporting Related to Processing of Execution Time August 17, 2018
Final Production Test for ORF and ADF FIX Trade Reporting Tag Changes and Equity Short Sale Validations July 25, 2018
Production Test for ORF and ADF FIX Trade Reporting Tag Changes and Equity Short Sale Validations July 11, 2018
Holiday Reminder Regarding ADF Market Data June 26, 2018
Holiday Reminder Regarding ADF Market Data May 22, 2018
Equity Short Sale Validations April 19, 2018
FINRA Plans Changes to FIX Trade Reporting Related to Processing of Execution Time March 06, 2018
Reminder: FINRA Internal Testing In Production February 20, 2018
New FINRA ADF Participant November 07, 2017
FINRA Updates FINRA Transparency Services Uniform Executing Broker Agreement October 23, 2017
New FINRA ADF Participant September 26, 2017
Reminder: Trade Reporting and T+2 Settlement August 30, 2017
New FINRA ADF Participant May 26, 2017
Thanksgiving Holiday Reminder for Market Transparency Reporting Tools

Pagination

  • « First First page
  • << Previous page
  • 1
  • 2
  • 3
  • 4
  • 5
Home

FINRA Utility Menu

  • About Us
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms

FINRA Main Navigation

  • Rules & Guidance
  • Registration, Exams & CE
  • Events & Training
  • Filing & Reporting
  • Compliance Tools
  • For Investors

General Inquiries

301-590-6500

Securities Helpline for Seniors®

844-574-3577 (Mon-Fri 9am-5pm ET)

File a Regulatory Tip

To report on abuse or fraud in the industry

Arbitration & Mediation

FINRA operates the largest securities dispute resolution forum in the United States

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombuds

Report a concern about FINRA at 888-700-0028

Footer Legal Links

  • Site Map
  • Privacy Policy
  • Terms of Use
  • Translate
  • Contact Us

© 2024 FINRA. All Rights Reserved.

FINRA is a Registered Trademark of the Financial Industry Regulatory Authority, INC.