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.
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 7, 2020. Affected applications include:
The Members Exchange (“MEMX”) and the MIAX Pearl Equities Exchange (“MIAX”) are providing additional testing opportunities this weekend in preparation for their respective launch dates. Firms participating in the August 29, 2020 test may send OATS data related to those orders to the OATS Certification Testing environment before the following Monday's OATS reporting deadline. OATS will then attempt to match to MEMX and MIAX test data. Matching statistics for the weekend test will be provided to firms upon request and will not be published to OATS CT Website.
Dynamic Reporting is a flexible tool that gives you direct access to your organization's data so you can get immediate answers to common questions. This webinar will provide a walk-through of the features and helpful resources to reference when using Dynamic Reporting on your own.
Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.