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.
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to adopt (1) FINRA IM-1013-3 and (2) FINRA Interpretive Material Section 4(e) of Schedule A to the FINRA By-Laws (“IM-Section 4(e)”) to establish a short-form membership application process for firms that must become FINRA members due to the amendments to Exchange Act Rule 15b9-1 and partial waiver of the new membership application fee to those firms that are eligible to apply for FINRA membership pursuant to this short-form membership application process.
Financial Industry Regulatory Authority, Inc.
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and publishes a Final Statement in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.