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FINRA Utility Menu

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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.

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For Industry Professionals

FINPRO

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

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For Member Firms

FINRA GATEWAY

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

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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.

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  1. Filing & Reporting
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ATS Archived Documents

ATS Trade Reports File Format User Specification v0 5
(7/17/14, PDF 434 KB)

FINRA ATS Specifications for UAT Version 0.2
  (4/9/14, PDF 396 KB)

ATS Transparency Data File Download API version 0.2
 (8/26/14, PDF 562 KB)

FINRA ATS Transparency Data Website User Guide - Version 2.1
(6/27/14, PDF 1,581 KB)

FINRA ATS Transparency API Specifications File Download
(6/16/14, PDF 562 KB)

FINRA ATS Transparency Data Website User Guide - Version 2
(6/6/14, PDF 1,431 KB)

FINRA ATS Transparency Data Website User Guide
(5/16/14, PDF 528 KB)

Alternative Trading System (ATS) Specification for UAT v0.1
(4/1/14, PDF 380 KB)

ATS Trade Reports File Format User Specification v0.3
(4/1/14, PDF 418 KB)

Alternative Trading System (ATS) Transparency Trade Report File Specification and User Guide - Version 2
(3/7/14, PDF 418 KB)

Alternative Trading System (ATS) Transparency Trade Report File Specification and User Guide
(2/13/14, PDF 144 KB)

ARBITRATION & MEDIATION

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