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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-2024-007 eff. Sept. 28, 2026. |
For each Initial Covered Securities Loan and Loan Modification reported to SLATE on a given business day, no later than the morning of the next business day, FINRA will make publicly available:
(1) for an Initial Covered Securities Loan, the unique identifier assigned by FINRA to the Covered Securities Loan;
(a) Initial Covered Securities Loans
(1) When and How Initial Covered Securities Loans Are Reported
For Initial Covered Securities Loans, Covered Persons must report the information specified in paragraph (a)(2) of this Rule to SLATE, as provided in this paragraph (a)(1):
(a) Mandatory Participation
(2) Participation in SLATE shall be conditioned upon the SLATE Participant’s initial and continuing compliance with the following requirements:
For the purposes of this Rule 6500 Series, the following terms have the following meaning:
(a) “Confidential Data Element” means an item of information that a Covered Person must report under SEA Rule 10c-1a(e) and FINRA Rule 6530(a)(2)(M) through (U).
(b) “Custodian” means a Broker or Bank that is providing safekeeping or custody services as described in Exchange Act Section 3(a)(4)(B)(viii)(I)(aa) or (bb) in connection with the Covered Securities Loan.