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.
The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Final Statements are available in E-Bill on January 2.
Preliminary Statement reports are replaced with Final Statement reports in CRD/IARD.
Many firms find it convenient to schedule any required payment while logged in to E-Bill to retrieve the statement. If additional payment is not required, the Final Statement will reflect "Paid in Full." Any overpayment FINRA received from a firm is now available in the firm’s Flex-Funding account.
The CRD/IARD system shuts down for the year at 6 pm on December 26. Firms should ensure that they perform the following activities before the shutdown occurs:
FINRA-registered firms should ensure payment is received and posted to your account by this day. Money can be deposited directly into your firm’s Renewal Account, or firms may rely on FINRA to transfer the money from your firm's Flex-Funding Account that begins December 14. In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding account. See the Renewal Payment Options page for more information.
Preliminary Statements are available in E-Bill beginning November 16. Many firms find it convenient to submit or schedule their payment while logged in to E-Bill to retrieve the statement. Preliminary Statement reports are also available in CRD/IARD. Be sure to save or print these reports before Final Statements are generated as they cannot be recreated once Final Statement is created.
Starting October 19, firms can submit Forms U5 and BR Termination filings with a termination date of December 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included for renewals.