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.
2024 Holiday ScheduleMonday, January 1, 2024New Year’s Day ObservationMonday, January 15, 2024Martin Luther King, Jr. DayMonday, February 19, 2024Presidents' DayFriday, March 29, 2024Good Friday (system closed)Monday, May 27, 2024Memorial DayWednesday, June 19, 2024JuneteenthWednesday, July 3, 2024Day before Independence Day (1 p.m. early close)Thursday, July 4, 2024Independence DayMonday,
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 ExperienceChief
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee, Executive Committee, Finance, Operations & Technology Committee (Chair), Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President –
FINRA Disclosure Reporting Boot Camp Schedule & How to Register
Enroll here to complete required FINRA exams, whether you are new to the industry or are seeking to broaden your career.
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.
