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.
I submit this comment on behalf of investors who are routinely forced into the FINRA arbitration forum after suffering significant financial losses. In my practice, I represent individuals who have lost substantial sums through elder financial fraud, ponzi schemes, and crypto currency scams.
Rule Filing Status: Filed for Immediate Effectiveness
Proposed rule change to amend FINRA Rule 6272 (Character of Quotations) to modify the operation of the Alternative Display Facility (“ADF”) in light of SEC Regulation NMS’s new requirements related to the dissemination of odd-lot quotation information.
