SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
On This PageFAQ Applicable to FINRA's Fingerprint ProcessFAQ Applicable to All FirmsFAQ Applicable to Broker-Dealers FirmsFAQ Applicable to Funding PortalsFAQ Applicable to Investment AdvisersFAQ Applicable to FINRA’s Fingerprint ProcessQ1: Which firm personnel are required to be fingerprinted?A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)),&
Las personas solo pueden solicitar nuestra ayuda si están al tanto de la existencia de la Oficina del Ombuds. Es por eso que nos esforzamos por aumentar nuestro alcance entre aquellos que se hayan dirigido a nosotros con preguntas o inquietudes - inversionistas, la industria de corredores de bolsa, el personal de FINRA, y cualquier otra parte interesada de FINRA. En 2023, nuestro alcance incluyó
Ver en españolOnly when people are aware of the Office of the Ombuds can they seek our assistance. This is why we strive to increase our outreach to our constituents—investors, the broker-dealer industry, FINRA staff, and any other FINRA stakeholders. In 2023, our outreach included meeting with investor representatives; participating in investor, industry, and employee events; and enhancing our
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
FINRA Disclosure Reporting Boot Camp Schedule & How to Register
In-Person Registration Systems Foundation (Fee $300 per person): includes a single day of in-person training for firms on FINRA Gateway and related systems.
As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. The implementation date for this initiative is Monday, October 21, 2024. On October 21, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A. TRACE data feed clients
