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 has adopted amendments to its Codes of Arbitration Procedure (Codes) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.
The amendments add new Rules 12808 and 13808 (Accelerated Processing) to the Codes, and are effective for arbitration cases filed on or after March 30, 2026.
The text of the rule change is set forth in Attachment A.
Questions concerning this Notice should be directed to:
Bryan Smith is Senior Vice President of Strategic Intelligence & Analytics (StratIntel) for Member Supervision at FINRA. Mr. Smith leads multi-disciplinary teams, including data scientists, risk specialists and intelligence analysts, responsible for providing proactive and strategic intelligence throughout Member Supervision and to the industry in support of investor protection and market integrity. StratIntel also supports FINRA’s regulatory programs and member firms in identifying, assessing, and responding to emerging risks and threats.
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