FINRA.org will undergo scheduled maintenance on October 18, 2026, 11 p.m. – October 19, 2026, 7 a.m., with a brief 5 min. outage during this window.
OSAIC INSTITUTIONS, INC.
Information
- Reporter ID
- OIIF
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://osaic.com/disclosures
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-31-2026 | https://osaic.com/disclosures |
OSAIC INSTITUTIONS, INC.
Information
- Reporter ID
- OIIP
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://osaic.com/disclosures
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-31-2026 | https://osaic.com/disclosures |
R. F. LAFFERTY & CO., INC.
Information
- Reporter ID
- RFLA
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://nms605.karngroup.com/4a56e9405445464751773d3d
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-28-2026 | https://nms605.karngroup.com/4a56e9405445464751773d3d |
SR-FINRA-2026-009
Rule Filing Status: Filed for Immediate Effectiveness
A proposed rule change to amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (“TRACE”) to expand the scope of the non-member affiliate—principal transaction indicator to also include member affiliates.
Report Center Webinar Series: Equity Report Cards
This session covers the monthly CAT/Equity trading com