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 National Securities Clearing Corporation (NSCC) administers the Automated Customer Account Transfer Service (ACATS), a system that automates and imposes specified duties and performance timeframes to facilitate the transfer of accounts, in whole or in part, from one firm to another. The NSCC recently announced an amendment to NSCC Rule 50 (Automated Customer Account Transfer Service) to reflect, among other things, the removal of the settlement preparation stage (“Settle Prep” or the “Settle Prep Day”) from the ACATS transfer process.
Richard Shulman is Vice President, Surveillance Optimization and Innovation. He manages a team responsible for improving the efficiency and effectiveness of FINRA’s surveillance program through continuous innovation and optimizing and refining surveillance patterns and business processes.
