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 amended Rules 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.1 These amendments simplify and clarify rule provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings.
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-19-2026 | https://www.simplicity-investments.com |
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-16-2026 | https://www.citizensbank.com/corporate-finance/disclosures/citizens-jmp.aspx |
FINRA is seeking candidates to fill vacancies on the Small Firm Advisory Committee (SFAC). Two seats will be up for election, one representing the Midwest region and one representing the South region. Eligible individuals from small firms1 interested in serving on the SFAC must submit a Candidate Profile Form to FINRA's Corporate Secretary via email by November 19, 2026.
