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
- October 04, 2024SLS Filings Due
- October 24, 2024FOCUS Part II/IIA - Quarterly Filings Due
- October 24, 2024Form Custody Filings Due
- October 29, 2024SSOI Filings Due
- October 29, 2024SIS Filings Due
Technical Notices
FINRA Updates the OTC Equities High Price Dissemination List
Update- FINRA API Reference Data Multi Factor Authentication (MFA) Production Access
User Acceptance Test FINRA TRACE Corporate/Agency Replatform and Data Feed Protocol Changes
Update - FINRA TRACE Corporate/Agency Replatform and Data Feed Protocol Changes
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems
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.