As announced in Regulatory Notice 13-09, FINRA has established two optional, fee-based TRACE data delivery services to increase firms’ flexibility and access to data available through FINRA’s Automated Data Delivery System (FINRA ADDS).
Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential
WASHINGTON — Starting today, the FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2019 class of financial FINRA Fellows — a unique program designed to increase the financial capability of U.S.
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
FINRA is committed to working with the CAT NMS Plan Participants, the Securities and Exchange Commission and the securities industry to ensure an efficient and effective implementation of the Consolidated Audit Trail.
About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage
FINRA has updated its equities and fixed income transparency services participant agreement and has also created an amendment to the agreement.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
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Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result of
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).
