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.
Rule Filing Status: Approved
Nathaniel Stankard is Executive Vice President and Deputy Chief Legal Officer, working closely with the Chief Legal Officer to oversee the full range of the office’s responsibilities.
Mr. Stankard previously served as FINRA’s Chief of Staff, where he helped the CEO execute enterprise strategy, develop regulatory policy, and strengthen the organization’s regulatory programs, including in the integration of the functions that now comprise FINRA’s unified Regulatory Operations.
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).