The real question is: why were these not already in place?! Yes. To all these items. I’m addition, any darkpool sale needs to have a reason submitted to FINRA for approval before a DP can be used for a sale. The darkpool was created so that massive institutional buy/sell orders did not damage the market. Now it’s simply used to hide transactions from the market. This must stop. Regulate to ensure it is being used for the correct purposes and eliminate darkpool corruption.
For the Public
FINRA DATA
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
FINPRO
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
FINRA GATEWAY
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For Case Participants
DR PORTAL
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
Need Help? | Check System Status
Log In to other FINRA systems
Kyle S. Comment On Regulatory Notice 21-19
The real question is: why were these not already in place?! Yes. To all these items. I’m addition, any darkpool sale needs to have a reason submitted to FINRA for approval before a DP can be used for a sale. The darkpool was created so that massive institutional buy/sell orders did not damage the market. Now it’s simply used to hide transactions from the market. This must stop. Regulate to ensure it is being used for the correct purposes and eliminate darkpool corruption.