![Filing & Reporting](/sites/default/files/styles/crop_hero_image/public/2019-05/filing_reporting_header_0.jpg?h=f2b97915&itok=q_5Wp10U)
Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic regulatory environment.
We have the resources, technology, skills and staff to help protect the integrity of our markets. And our tools can help improve the reporting process for firms.
Upcoming Filing Due Dates
- July 01, 2024SIS Filings Due
- July 01, 2024Annual Reports Due
- July 08, 2024SLS Filings Due
- July 24, 2024Form Custody Filings Due
- July 24, 2024FOCUS Part II/IIA - Quarterly Filings Due
Technical Notices
FINRA API Reference Data Multi Factor Authentication (MFA) Production Access
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems - TRACE
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems - ORF
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems - ADF
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems - TRF
![Introducing FINRA Gateway](/sites/default/files/2020-05/20_0128.1_Gateway_Web_v3.png)
Introducing FINRA Gateway
Technology shouldn’t slow you down – it should make you more efficient. That’s why FINRA is launching the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.