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 purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and rule changes.
I am president of Liberty Capital Investment. We are a small BD with 5 reps. We often buy bonds from 3rd party vendors. We find our clients can get prices by using an outside vendor like Muni Center versus buying from out correspondent inventory. Filling these orders often takes 10 to fifteen minutes to report. In the interest of best client price I remain firmly in favor of keeping the 15 minute report time