Release DateSystemAreaDescriptionOctober 27, 2024FinPro (Financial Professional Gateway)Continuing EducationA new “Not Required” CE status for the Regulatory Element will be added for individuals who are fully terminated. The status will be displayed only in the CE section.October 26, 2024FINRA GatewayIndividual ProfilesA new “Not Required” CE status for the Regulatory Element will be added for
The following are former funding portal members of FINRA.Amplify Funding, LLC SEC File No.: 7-222 330 E Liberty St Ann Arbor, MI 48104Avonto, LLC SEC File No.: 7-80 2435 E. North Street, Ste. 1108-178 Greenville, SC 29615Bananafina LLC. SEC File No.: 7-235 1065 NE 125th Street, Suite 300 North Miami, FL 33161BaseNote LLC SEC File No.: 7-315 340 S Lemon Avenue, #9290 Walnut, CA 91789Bioverge
FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.Upcoming WebinarsThere are no upcoming webinars scheduled at this time. Previous WebinarsAccount Management: Annual Super Account Administrator (SAA)
The following is a list of trademarks of Financial Industry Regulatory Authority, Inc. (FINRA Marks). This list may be updated at any time without notice.ADF®BrokerCheck®Certified Regulatory and Compliance Professional (CRCP)®CRCP®CRD®Financial Industry Networking Directory™Financial Industry Regulatory Authority®Financial Learning Experience at FINRA™FIND®FINRA®FINRA ADDS®FINRA Automated Data
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 later
FINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data. Choose from templates for firm, branch, individual, or filing data to create your own custom reports.
1. Do Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?
Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with Conflicts
All investments carry some degree of risk. Stocks, bonds and funds can lose value. Even conservative, insured investments such as certificates of deposit issued by a bank or credit union, come with inflation risk. They may not earn enough over time to keep pace with the increasing cost of living.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under FINRA Rule 12800.
ATS data has been aggregated on a quarterly basis to display total shares, total trades and average trade size per ATS.2024 Quarterly Tables1st QuarterTier 1 NMS StocksTier 2 NMS StocksAll NMS StocksAll OTC Securities2nd QuarterTier 1 NMS StocksTier 2 NMS StocksAll NMS StocksAll OTC Securities3rd QuarterTier 1 NMS StocksTier 2 NMS StocksAll NMS StocksAll OTC Securities2023 Quarterly Tables1st
