Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
(a) Filing Requirement
Except as provided in Rule 1013(a)(2), all forms required to be filed by Article IV, Sections 1, 7, and 8, and Article V, Sections 2 and 3, of the FINRA By-Laws shall be filed through an electronic process or such other process FINRA may prescribe to the Central Registration Depository.
(b) Supervisory Requirements
(1) In order to comply with the supervisory procedures
1. What is the URL for Web CRD?
FINRA recommends that FINRA-registered firms access Web CRD through the Firm Gateway. This site will allow you to access Web CRD as well as other FINRA applications. The Firm Gateway is located at https://firms.finra.org.
Short sale, short interest, fails to deliver, hedge funds using the same collateral for different margin accounts and loans, and all dark pools information should be made available to the public as daily reports as LIVE FEEDS. Data Science algorithms can reveal how these market manipulators are stealing money from retail investors. Data and information should be available as LIVE FEEDS just like
Short sale, short interest, fails to deliver, hedge funds using the same collateral for different margin accounts and loans, and all dark pools information should be made available to the public as daily reports as LIVE FEEDS. Data Science algorithms can reveal how these market manipulators are stealing money from retail investors. Data and information should be available as LIVE FEEDS just like
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today announced the launch of its first, broad-based advertising campaign aimed directly at baby boomers, a demographic that its research shows lacks confidence in their investing knowledge and is eager to better understand their investment options.With 10,000 baby boomers retiring every day over the next quarter century, FINRA
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
Last summer, we introduced listeners to FINRA’s Crypto Hub, an enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. On this episode, we have three members of the hub join us to provide an update on that work to dig into the results of a recent survey of member firms regarding their crypto asset touch points to tell us about the new spot Bitcoin ETP market and more.
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
