Within the following videos, several members of FINRA’s advisory and regional committees, the National Adjudicatory Council (NAC) and the FINRA Board of Governors share their experiences serving on FINRA committees—including an overview of FINRA committee engagement, the benefits of participation and recommendations for how to get involved.What Are FINRA Committees?Members of FINRA’s various
After receiving a substantially complete application package, FINRA must review and process it within 180 calendar days.
To be approved as a FINRA member firm, the Form NMA and supporting documentation must satisfy the Standards of Admission set forth in NASD Rule 1014 and all other statutory and regulatory requirements.
Continuing Membership Guide - Frequently Asked Questions
The FINRA broker-dealer (BD) registration process covers a firm's full life cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements and what member firms need to do to expand their business or withdraw
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure).
OTC Threshold data is published daily by FINRA to identify OTC equity securities with fails to deliver that are required to be closed out pursuant to Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320. Firms must utilize the OTC Threshold list to ensure full compliance with the rules. While threshold status is based on the aggregate fail in a specific equity security, the obligation to close-out
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their
The difference between the yields of two different bonds, called a bond spread, can help you understand the potential risks and rewards for investing in a particular bond. Corporate bonds are often measured against relatively risk-free Treasury bonds. Bond spreads can also help you evaluate the overall health of the economy.
