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.
Re: Regulatory Notice 26-14, Proposed Changes to Modernize Rule 2210 (Communications with the Public)
To the Office of the Corporate Secretary,
I write in a personal capacity, at the industry level, as a quantitative finance and model-risk practitioner. These views are my own and not those of my employer.
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-14-2026 | http://public.s3.com/rule605/msfr |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-13-2026 | https://interchange.com/disclosures/interchange-clearing-llc/rule-605 |
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to adopt new FINRA Rule 2166 (Temporary Delays for Suspected Fraud) to modernize protections for senior and vulnerable investors and to make additional fraud prevention tools available for all customers.
