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 rules and updated its interpretations to address binary options. The amendments to Rules 2220 (Options Communications), 2360 (Options), and 4210 (Margin Requirements) clarify the application of the rules to binary options, including options whose payout is based on the value of an issuer’s reported financial or operating metrics and options cleared by a registered clearing agency other than The Options Clearing Corporation (OCC).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 2220, 2351, 2357, 2360, and 4210 to address binary options, options whose payout is based on specified metrics, and options cleared by a registered clearing agency other than The Options Clearing Corporation.
FINRA has adopted new Rule 3290 (Outside Activities Requirements) to replace Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person). Rule 3290 consolidates and streamlines the requirements governing registered persons’ outside activities and associated persons' outside securities transactions.
The effective date of Rule 3290 is October 25, 2027.