For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Learn more about how FINRA will implement the changes described in the 6/25/20 Information Notice. We will discuss the impact these changes will have on how firms create and submit Form U4, as well as how individual representatives will use the FinPro system to access CE and collaborate with their firm on Form U4 filings.
I think pennying is really a bad behaviour, that is similar to "front-runnning". I think it is important to find a protocol that reduces that behaviour... I don't have the solution, but may be in case a dealer wants to show his own bid , he has to give the 1st bidder (may be also the 2nd best) another look. Thank you for bringing the subject. Kind regards.
This one-day conference is held online and focuses on effective practices and tips for complying with FINRA rules — from the unique perspective of small firms.
