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
FINRA disciplinary actions for the month of March 2024. Learn which firms and individuals faced enforcement actions and improve your compliance.
FINRA disciplinary actions for the month of May 2023. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
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
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
Terms and acronyms candidates may encounter in FINRA qualification exams.
In the early hours of Sept. 16, 1810, church bells rang to signal a call to arms in Dolores, Mexico, beginning the Mexican War of Independence. By 1821, what was once called New Spain, became the nations of present-day Central America.
