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.
I believe the PDT rule is unfairly restrictive to small investors. There is no way to learn without losing some trades. I have been trapped in losing trades trying to avoid triggering the PDT rule. Please get rid of this rule completely, as traders should be able to learn how to invest their own money at their own risk.
Comments on Day Trading Disclosure Statement
Please see comments with underline or strikethrough.
Day-Trading Risk Disclosure Statement
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series. Hear from FBI field office leaders and cyber investigators as they discuss real-time threat intelligence and provide local and regional FBI resources that are available to you.
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series. Hear from FBI field office leaders and cyber investigators as they discuss real-time threat intelligence and provide local and regional FBI resources that are available to you.
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
In 2024, FINRA implemented streamlined and intuitive data entry process for firms’ Financial Notifications and Regulatory Notifications, which includes a new amendment function to help firms make updates and changes to forms. Join this webinar for a high-level overview of this implementation and a demonstration of the new forms.
FINRA’s Third-Party Vendor request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. This is the second webinar that will review frequently asked questions (FAQ) that are received after the request goes out.
FINRA’s Third-Party Vendor request asks firms to submit information on all third-par
