Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
2024 FINRA Annual Regulatory Oversight ReportThe Consolidated Audit Trail (CAT) topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA. FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
Pursuant to FINRA Rule 6897, FINRA is making publicly available Audit Trail Reimbursement Billing (ATRBI) data. Please find below details for the current month and prior month billing cycles.
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
The Trade Reporting and Compliance Engine (TRACE) is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities. All broker-dealers who are FINRA member firms have an obligation to report transactions in TRACE-eligible securities under an SEC-approved set of rules.
On This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning CoursesEarn CFP CreditsOverviewFinancial Learning Experience™ (FLEX™) is a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs.At launch, the platform will include courses from FINRA’
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
(a) Authority to Initiate Halts In Trading Otherwise Than on an Exchange in NMS Stocks and Facility ClosuresFINRA, pursuant to the procedures set forth in paragraph (b):(1) shall halt trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b) of SEC Regulation NMS, whenever a Primary Listing Market declares a Regulatory Halt in the security.(2) shall halt trading otherwise
