View number of cases and arbitrators per hearing location through the previous month.
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Explore This
1. What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members.FINRA Rule 3210
The Uniform Forms U4 and U5 are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs) and the jurisdictions. Forms BD and BDW are joint forms used by the Securities and Exchange Commission (SEC), SROs, and the jurisdictions. The forms are used, respectively, to register and to terminate the registrations of broker-dealers.
FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and continuing education sessions. The registration filing requirements of the CRD program are being integrated into the new FINRA Gateway system.
Understanding Your FINRA Flex-Funding Account
Q. What is a duplicate disclosure and how is a duplicate disclosure created?A. A "Duplicate Disclosure" is when a firm files a Form U4, Form U5 or Form BD to report the same disclosure event multiple times via separate (i.e., new or "initial") Disclosure Reporting Pages (DRPs). Rather than amending the existing DRP to report any updated details, a firm creates and
CRD constituents may choose to request a report or set of data that is not available through the standard reports library. For additional information, please refer to the Reports Quick Reference Guide.An Ad Hoc Report can be customized by the requestor, within policy limits established by FINRA, to include a variety of data elements and will be delivered in the format requested by the constituent
1. What are some tips for printing PDF Reports?
To print reports in Portrait format...
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
