FINRA employs advanced technology to monitor the markets and the activities of regulated firms. Our systems help firms and individuals comply with applicable regulations.
Registration
Member Application Program (Firms) |
Qualifications & Exams (Individuals) | CRD | IARD
Regulatory Filings
Annual Audit | Rule 4530 Application | Short Interest Reporting | Blue Sheets | Advertising Regulation Electronic Files | Regulation M Filings | Regulation T Filings | FINRA Rule 4311(h)(2) | Regulatory Notifications | FOCUS | Public Offering System | Distribution Manager | Private Placements | FINRA Contact System | FINRA Firm Clearing Arrangements Filing | Customer Margin Balance Reporting | Subordination Agreements
Report Center
4530 Disclosure Timeliness Report Card | Continuing Education Regulatory Element Report | Equity Report Cards | Front End Systemic Capture (FESC) Report Cards | MSRB Report Cards | Risk Monitoring Reports | TRACE Quality of Markets Report Card | Web CRD Late Filing Fee Report
Market Transparency
ADF | INSITE | OATS | ORF | OTCBB | Regulation NMS | TRACE | TRF | UPC
Compliance Exams
Continuing Education