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.
The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.
The amendments are effective for cases filed on or after July 1, 2019.
Questions concerning this Notice should be directed to:
Our compliance tools and resources come in many forms, including templates, checklists and guides. These optional tools may assist member firms with:
As stated in the May 7, 2019 TRACE Technical Notice, FINRA updated the TRACE for Treasuries User Guide to coincide with the addition of an “All-In Price” field. This field will be located in the Matched and Unmatched Screens on the TRAQS website beginning Monday, June 10, 2019. FINRA previously advertised June 3, 2019 for the new field to be in effect.
FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices. This half-day event also includes opportunities to network with industry peers and FINRA District Office staff.
Download the 2019 District Compliance Seminar brochure.
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulations. This year’s conference also includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019.
