Regulatory Filing & Reporting

Application Programming Interface (API) Center
The FINRA API Center enables registered brokerage firms and their vendors to receive a broad array of data in an automated, machine-to-machine fashion.

fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization.

Regulatory Filings
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.

Report Center
The Report Center provides firms with secure access to data and reports that help firms detect potential compliance problems early.

Market Transparency
FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets.