For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Rule Filing Status: Filed for Immediate Effectiveness
Proposed rule change to amend paragraph (d) (Notice) of FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) to specify that FINRA will deliver electronically its requests for information and testimony to member firms through FINRA Gateway.
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail costs of the National Market System Plan Governing the Consolidated Audit Trail for the period from May 1, 2026 through December 31, 2026.
Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022 that were not previously invoiced via Historical CAT Assessment 1
