6865. Time Stamp and Clock Synchronization Rule Violations
Adopted by SR-FINRA-2017-003 eff. |
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.
Adopted by SR-FINRA-2017-003 eff. |
(1) with regard to those circumstances in which an Industry Member has established a trading relationship with an institution but has not established an account with that institution: