Skip to main content

FINRA Utility Menu

  • About FINRA
  • 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)
      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 FINRA
  • 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
  2. OTC (ATS & Non-ATS) Transparency
EXPLORE THIS SECTION

FINRA Main Navigation

  • FINRA Gateway
  • Systems Status
  • Entitlement Program
  • Market Transparency Reporting Tools
    • Alternative Display Facility (ADF)
    • OTC (ATS & Non-ATS) Transparency
    • Over-the-Counter Reporting Facility (ORF)
    • Securities Lending and Transparency Engine (SLATE)
    • Trade Reporting and Compliance Engine (TRACE)
    • Trade Reporting Facility (TRF)
    • Uniform Practice Code (UPC)
    • Improvement Initiatives
  • Regulatory Filing Systems
  • Data Transfer Tools
  • E-Bill

OTC Transparency Technical Notices

Title Date
OTC Transparency Data Download and API Guidelines, Due to go Live November 5 2018, has been Extended—A New Release Date will be Announced Soon October 31, 2018
New OTC Transparency Data Download and API Guidelines (Effective November 5, 2018) September 04, 2018
FINRA ATS Data Changes Effective Monday, October 3, 2016 September 29, 2016
Update: OTC Transparency Symbology July 08, 2016
FINRA ATS Links to Product Pages May 12, 2016
FINRA ATS Data Changes Effective Monday, April 25, 2016 April 20, 2016
Downloadable ATS Data Available at no Charge on FINRA.org July 13, 2015 July 06, 2015
ATS MPID Requirement January 07, 2015
Quarterly ATS Data Reports October 27, 2014
Updated ATS User Guide Available August 19, 2014
New ATS Transparency Data Website June 16, 2014
New ATS Transparency Data Website User Guide Available June 06, 2014
ATS Data Website May 16, 2014
FINRA Alternative Trading System (ATS) Important Dates May 09, 2014
ATS Connectivity and Update to Fixed Income Files April 09, 2014
FINRA Alternative Trading System (ATS) MPID Requests March 24, 2014

Pagination

  • « First First page
  • << Previous page
  • 1
  • 2
  • 3

ARBITRATION & MEDIATION

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

Learn More
Home

FINRA Utility Menu

  • About FINRA
  • 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

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.