Release DateSystemAreaDescriptionApril 13, 2025FINRA Gateway and CRDAllNYSE Chicago, Inc. (NYSE-CHI) Renamed NYSE Texas, Inc. (NYSE-TEX) in FINRA’s Registration Systems. For more information about the exchange name change, refer to Intercontinental Exchange’s press release The New York Stock Exchange to Launch NYSE Texas.March 30, 2025FINRA GatewayIndividual ProfilesAn Individual’s
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.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 11, 2025. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 10,
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
CRD - FAQ Form Filing for Individuals
StatePercentage Answering 5 or More Financial Knowledge Questions CorrectlyPercentage Answering Inflation Question CorrectlyAlabama20.17%54.30%Alaska29.51%57.15%Arizona24.39%59.65%Arkansas24.17%56.42%California31.11%58.46%Colorado33.89%62.60%Connecticut28.92%61.56%Delaware29.31%57.35%District of Columbia34.41%57.41%Florida25.68%55.95%Georgia25.51%55.92%Hawaii31.27%61.62%Idaho29.37%62.98%
Congratulations to Chairman Atkins on his confirmation. FINRA looks forward to working with Chairman Atkins, the other Commissioners and SEC staff to fulfill its vital mission of protecting investors and safeguarding market integrity. FINRA stands ready to support Chairman Atkins’ efforts to bring smart, effective and appropriately tailored regulation to benefit all market participants.
Below are all the compliance tools offered by FINRA. Questions? Contact FINRA Support Center at (301) 590-6500 or by email.Anti-Money Laundering TemplateBooks and Records Requirements Checklist for Broker DealersBreakpoints Checklist and WorksheetBreakpoints Sample Written Disclosure DocumentBrokerCheck Link Requirements in FINRA Rule 2210Business Continuity Planning TemplateCompliance
