New member firms must file certain retail communications prior to first use with FINRA’s Advertising Regulation Department. A retail communication, as defined in FINRA Rule 2210, means any written (including electronic) communication that is distributed or made available to more than 25 retail investors within any 30 calendar-day period.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
View past OATS Web Interface User Guides. These pages are listed in reverse chronological order by release date.
View past OATS Web Interface Data Dictionary. These pages are listed in reverse chronological order by release date.
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
