ADF Operations receives and posts Denial of Access Notifications, pursuant to Rule 4300A(a)(6) to ensure that securities firms have adequate time to make other routing or access arrangements, if necessary.
View a new monthly downloadable file of all short sales which were reported to the ADF. The format and data contained in these files is detailed in the Regulation SHO: Data Dissemination document.
New FINRA360 Initiative Provides Small Firms Additional Assistance
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today launched a Small Firm Helpline, the latest in a series of actions to enhance support for small firms that have been taken as part of the FINRA360 organizational improvement program.
FINRA employees answering the toll-free Helpline, which will operate 9 a.m.
SEC Interpretive Actions related to Alternative Display Facility
On Monday, January 22, 2018, FINRA will implement changes to the TRACE for Treasuries (U.S. Treasuries) trade reporting retention period. Currently, trade reports for U.S. Treasuries transactions are held on a rolling 2-day period (T-1). Following the change, trade reports for U.S. Treasuries transactions will be retained on a rolling 3-day period (T-2).
Starting January 22, firms will be able
A Report on FINRA’s Financial Planning and Annual Budget
list of Participant Information And Legal Agreements
Increases Transparency into Budget; Includes No Fee Rate Increases for Member Firms
WASHINGTON — The Financial Industry Regulatory Authority today published for the first time its
FINRA’s 2018 Financial Guiding Principles
for the coming year. The additional transparency supplements the audited annual financial report FINRA has long published, responds to feedback
It's important to know what you want to accomplish with your investments before you actually invest. Learn how to set your financial goals, get a handle on your cash flow, control spending, manage debt and get on the path to saving and investing.
Take a Smart Investing Course
Taking one of FINRA’s Smart Investing Courses can help you expand your knowledge of key investing topics. Learn
