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.
FINRA is amending the Annual Reports Extension of Time Request Policy to update the information required from firms and their auditors when making extension requests. In connection with this update, the related interpretation to SEA Rule 17a-5(m)(1) in the Interpretations of the SEC’s Financial and Operational Rules is rescinded.
Rule Filing Status: Filed for Immediate Effectiveness
A proposed rule change to amend FINRA Rules 5220, 5320, 6220, 6272, 6279, 6320A, 6320B, and 7620A to conform to the new definition of “round lot” adopted by the Commission under Regulation NMS.
Rule Filing Status: Filed for Immediate Effectiveness
