CRD is typically available:Monday through Friday from 5 a.m. to 11 p.m. ETSaturday from 8 a.m. to 6 p.m. ETSunday from 10 a.m. to 6 p.m. ETScheduled exceptions to the system availability are provided below.Looking for information about unscheduled system outages and disruptions? Please visit the Systems Status page. October 2024DateStatusCommentNo outages scheduled November
An Enduring Mission Built on NecessityAs Americans grappled with the Great Depression, the U.S. government knew legislative reform was crucial to improve market regulation and safeguard investors. While the Securities Act of 1933 and the Securities Exchange Act of 1934 increased confidence in U.S. securities regulation, more oversight of the over-the-counter markets was needed. In 1939, the
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, including: advising companies and private equity funds on capital raising and corporate restructuring, andacting as placement agents for sales of unregistered securities to institutional investors under limited conditions.Firms that elect to be governed under the CAB rule set are not permitted, among other
FINRA staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program data submission and documentation requirements. This session will review the upcoming deadlines and the data and information requirements and submission process.FINRA Webinar: Remote Inspections Pilot Program Data Submission and Documentation Requirements – On-Demand RecordingFINRA Member Firms CRCP
Download the Findings Reporting Categories for Remote Inspection Pilot Participants
Learn how Small Firm Advisory Committee Elections and Regional Committee Elections work at FINRA.
FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors. For example, a firm's procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers. Of particular concern to FINRA is the suitability of recommendations to senior investors, communications targeting older investors, and potentially abusive or unscrupulous sales practices or fraudulent activities targeting senior investors.
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
