We encourage you to follow FINRA via social media, RSS feeds and email subscriptions.Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.Social MediaX/Twitter@FINRA has the latest press releases, speeches and announcements.@FINRAFoundation
Background
An important part of FINRA's work involves providing investors the information and tools they require to make informed decisions about their assets and avoid dealings with bad actors. Several respondents to the Special Notice on Engagement issued in March 2017 provided a range of recommendations related to FINRA's efforts in the area of investor education—including the types
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
These report cards assist NYSE-reporting firms in monitoring compliance with NYSE Rule 123(e) and (f), which requires NYSE-reporting firms—immediately after receiving an order on the floor—to submit the order information to the FESC database before the orders are represented on the floor.
This page provides a comprehensive collection of rules governing communications with the public and advertising practices for FINRA member firms. These include FINRA communications rules as well as relevant SEC, MSRB and SIPC advertising regulations.FINRA Communications and Disclosure Rules2210. Communications with the Public2211. Communications with the Public About Variable Life Insurance and
FINRA's Cyber Crimes Conference (C3), formerly our Cybersecurity Conference, is a one-day event designed to help you stay current on cybersecurity challenges, understand vulnerabilities and create resilience against cyber-attacks.
In observance of Martin Luther King, Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 15, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface
The following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. If your firm is a joint broker-dealer/investment adviser (BD/IA) firm,
The Monthly Short Sale Transaction Files provide detailed trade activity of all short sale trades executed and reported to a FINRA <a href="/filing-reporting/trade-reporting-facility-trf">Trade Reporting Facility (TRF)</a> or FINRA’s <a href="/filing-reporting/alternative-display-facililty-adf">Alternative Display Facility (ADF)</a> during normal market hours as well as after-hours. The Short Sale Files include only trades reported to a TRF or ADF for public dissemination purposes (i.e., media-reported trades).
(a) Requirement to Furnish Information
Prior to a hearing before a Hearing Panel or, if applicable, an Extended Hearing Panel, the Hearing Officer, in the exercise of his or her discretion, may order a Party to furnish to all other Parties and the Hearing Panel or, if applicable, the Extended Hearing Panel, such information as deemed appropriate, including any or all of the following
