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.
MMTLP. Fix it now!!
FINRA’s rules should be modernized to address economic costs, evolving markets, technology advancements, and regulatory inefficiencies. Below are key areas for modernization, including specific rules, guidance updates, and regulatory overlaps that warrant attention.
1. Focus Areas for Modernizing FINRA Rules
Several FINRA rules are outdated, overly burdensome, or fail to account for modern trading environments and technologies.
A. Short Selling & Market Transparency Rules
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