On This PagePortfolio Margin DataFiling ScheduleHow to Access the File Upload FunctionBefore Uploading a File for the First TimeHow to Upload a FilePortfolio Margin Exam DataPortfolio Margin DataFINRA requires that all Portfolio Margin (PM) member firms submit their PM data via a file upload (fileX Upload).For more information on the expanded data requirements, please download version 2.0 of the
FINRA’s Corporate Financing Rules—Rules 5110, 2310 and 5121—generally compel firms that participate in public offerings of securities to fulfil three requirements: Firms must file documents and other information in connection with public offerings. These documents include registration statements or offering circulars and their exhibits and amendments. The documents must be submitted no
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
Read CEO Robert Cook’s email to firms describing outcomes from the June 2020 FINRA Board of Governors Meeting.
FINRA CEO Robert Cook and members of the FINRA Board of Governors provide updates from the September 2019 FINRA Board of Governors meeting.
Watch the video report featuring highlights from the December 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
FINRA’s Board of Governors met on December 1 and 2—and it approved two rule proposals and the organization’s 2022 budget, appointed several members to the Small Firm Advisory Committee (SFAC) and to the National Adjudicatory Council (NAC), and received an update on recently concluded Regional Committee and SFAC elections.
FINRA’s Board of Governors met on December 14 and 15, and it approved FINRA’s 2023 budget and two rule proposals, and appointed new members to the National Adjudicatory Council and the Small Firm Advisory Committee.
FINRA’s Board of Governors met on March 9 and 10—and it approved three rule proposals and the allocation of 2021 fine monies to various capital initiatives in accordance with FINRA’s Financial Guiding Principles.
