Transparency is an essential element of a fair and open market. But in a rapidly evolving market, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with filing and reporting, making regulatory compliance easier. We employ advanced technology to monitor the markets and regulated firms, keeping pace with the dynamic regulatory environment.
We have the resources, technology, skills and staff to help protect the integrity of the market. And our tools can help improve the process of reporting.
Upcoming Filing Due Dates
- September 29, 2021SIS Filings Due
- September 29, 2021Annual Reports Due
- October 15, 2021Rule 4530 / Customer Complaints Due
- October 26, 2021FOCUS Part II/IIA - Quarterly Filings Due
- October 26, 2021Form Custody Filings Due
Introducing FINRA Gateway
Technology shouldn’t slow you down – it should make you more efficient. That’s why FINRA is launching the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.