Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial 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 our markets. And our tools can help improve the reporting process for firms.
Upcoming Filing Due Dates
- April 23, 2025FOCUS Part II/IIA - Quarterly Filings Due
- April 23, 2025Form Custody Filings Due
- April 28, 2025SSOI Filings Due
- April 28, 2025SIS Filings Due
- April 29, 2025Annual Reports Due
Technical Notices
User Acceptance Test FINRA TRACE Securitized Products Replatform
FINRA Updates the OTC Equities High Price Dissemination List
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems
FINRA TRACE Securitized Products Data Feeds Production Parallel and Nighty Data Replay
Update - Fractional Shares Reporting Effective Date Set for February 23, 2026 and UAT Schedule Beginning in November 2025
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.