Beginning Monday, October 2, 2017, Jane Street (MPIDs: JSCA and JSEB) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF).
Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.
The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties.
How to Download a Report From Web CRD
CRD constituents may choose to request a report or set of data that is not available through the standard reports library. For additional information, please refer to the Reports Quick Reference Guide.
An Ad Hoc Report can be customized by the requestor, within policy limits established by FINRA, to include a variety of data elements and will be delivered in the format requested by the
Security Futures Risk Disclosure Statement
OATS is in the process of upgrading the IFT/FTP servers. Below is important information for IFT and FTP users regarding the changes:
Sharing Sensitive Information Can Pose Potential Privacy and Security Risks
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert to help consumers consider the risks of sharing personal financial account information and other sensitive information with data aggregators.
Companies that offer financial data aggregation services put information about
The Neutral Corner - Volume 1—2018
Mission Statement
An Introduction to FINRA’s National Arbitration and Mediation Committee (By Steven B. Caruso and Darya Geetter)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News and Q&As
NYC Bar Securities Arbitration & Mediation: Hot Topics 2018 (May 15, 2018)
American
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
