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.
This rule is no longer applicable. Incorporated NYSE Rule 434 has been superseded by FINRA Rule 4230. Please consult the appropriate FINRA Rule.
When the Exchange is the designated examining authority ("DEA") pursuant to Securities Exchange Act Rule 17d-1 for a member organization, such member organization must submit requests for extensions of time as contemplated by Sections 220.4(c) and 220.8(d) of Regulation T of the Federal Reserve Board and Rule 15c3-3(n) of the Securities Exchange Act of 1934 to the Exchange for approval.
| Adopted. May 17, 1994; effective September 1, 1994. |