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A Funding Portal organization applying for FINRA membership must comply with SEA Rule 17f-2 and submit fingerprints for all persons who are or will be associated with the Funding Portal member.
As part of the FINRA membership application process, a Funding Portal applicant must initially submit all fingerprints in hard copy (i.e., fingerprint cards) for its associated persons until the
Surveillance and Examinations
FINRA regularly examines funding portal members to determine compliance with FINRA's funding portal rules and SEC requirements. FINRA conducts examinations of each funding portal within the first 12 months of membership and no less frequently than once every four years thereafter. In addition, FINRA conducts ongoing surveillance of funding portals'
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Merger of FINRA Dispute Resolution
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
By-Laws of FINRA Dispute Resolution, Inc.
By-Laws of FINRA Regulation, Inc.
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
Suggested Routing
Compliance
Legal
Mark-Up Rule and Exempted Securities
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
FINRA Rule 0150
FINRA Rule 2121
Suggested Routing
Compliance
Fixed Income
Legal
Operations
Systems
Trading
Key Topics
Exempted Securities
Mark-ups,
On March 29, 2019, the data collection requirements under the National Market System (NMS) Plan to implement a Tick Size Pilot Program (Tick Size Pilot) will come to an end. As a result, the Pilot Securities File and Change File will no longer be produced on a daily basis. At the conclusion of the pilot, a blank Tick Size Pilot Securities file will be produced, and the Change File will be updated
FINRA Revises the Series 9/10 Examination Program
Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Use of FINRA Logo
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.