1. What are some tips for printing PDF Reports?
To print reports in Portrait format...
1. What is meant by a "Queue?"
A Queue is an online electronic listing...
1. What is the URL for Web CRD?
FINRA recommends that FINRA-registered firms access Web CRD through the Firm Gateway. This site will allow you to access Web CRD as well as other FINRA applications. The Firm Gateway is located at https://firms.finra.org.
Each FINRA Trade Reporting Facility (TRF) provides FINRA members with a mechanism for the reporting of transactions effected otherwise than on an exchange. While each FINRA TRF is affiliated with a registered national securities exchange, each FINRA TRF is a FINRA facility and is subject to FINRA's registration as a national securities association.
Trades by FINRA members in Nasdaq-listed
CRD - FAQ Form Filing for Individuals
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.
1. How can a firm affirmatively state that a Form U4 amendment is to also be applied to satisfy a Rule 4530(a)(1) reporting requirement?
Effective March 4, 2013, when a firm files a Form U4 amendment involving a criminal matter, regulatory action, civil judicial or customer complaint/arbitration
As announced in a Technical Notice on 6/3/19, there was an issue in the Tier 1 5/13/19 weekly report where some ATS data was unattributed. The issue has now been resolved. The unattributed data was actually associated with trade activity on the MLIX Instinct X ATS. The line data for MLIX has now been updated to reflect the additional activity.
If you have any questions, please contact FINRA
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M). A comprehensive overview of these rules and related guidance is set forth in Regulatory Notice 08-74 and Regulatory
View frequently asked questions related to portfolio margining under FINRA Rule 4210.
