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Filing & Reporting

Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.

FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic regulatory environment.

How the Cloud has Revolutionized FINRA Technology

FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss how the use of the cloud has fundamentally changed FINRA’s technology strategy.

Insight

Insight

Insight

Insight

Rule 472 Communications with the Public

This Rule is no longer applicable. Incorporated NYSE Rule Interpretation 472 has been superseded by FINRA Rule 2241. Please consult the appropriate FINRA Rule.

Rule 472.10 Definitions

Rule 440A Telephone Solicitation

This rule is no longer applicable. Incorporated NYSE Rule Interpretation 440A has been superseded by FINRA Rule 3230. Please consult the appropriate FINRA Rule.

Rule 440.20 Suspense Accounts

This rule is no longer applicable.

/01 Suspense Accounts

Suspense accounts are not to be used as a substitute for current and accurate books. Failure to clear suspense accounts promptly may be construed as a failure to maintain proper records within the context of Rule 440.

Rule 436 Interest on Credit Balance

This rule interpretation is no longer applicable effective November 11, 2008.