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FINRA Utility Menu

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FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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For Industry Professionals

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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  1. Rules & Guidance
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FINRA Main Navigation

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Guidance
  • Media Center
    Amendments to FINRA Rule 4210: Covered Agency Transactions
    June 11, 2024
  • Guidance
    Portfolio Margin and Intraday Trading
    January 09, 2024
  • FAQ
    Frequently Asked Questions Regarding Covered Agency Transaction Margin under FINRA Rule 4210
    January 05, 2024
  • Guidance
    Extension Reason Codes
    June 30, 2023
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    How to File an Extension of Time With FINRA
    June 30, 2023
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    Extensions of Time Filing Schedule
    June 30, 2023
  • FAQ
    Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521(d)
    April 13, 2021
  • Guidance
    Regulatory Notice 14-13
    March 25, 2014
  • Guidance
    Regulatory Notice 11-30
    June 27, 2011
  • Guidance
    Regulatory Notice 11-16
    April 07, 2011
  • Guidance
    Regulatory Notice 10-53
    October 26, 2010
  • Guidance
    Regulatory Notice 10-28
    June 09, 2010
  • Guidance
    Regulatory Notice 10-18
    April 06, 2010
  • Guidance
    Regulatory Notice 10-08
    February 10, 2010
  • Guidance
    Regulatory Notice 08-65
    November 04, 2008
  • Guidance
    Regulatory Notice 08-32
    June 23, 2008
  • Guidance
    Regulatory Notice 08-09
    March 14, 2008
  • Guidance
    Interpretations of Rule 4210
  • Guidance
    Covered Agency Transactions Multifamily Programs
  • FAQ
    Portfolio Margin FAQ
  • Guidance
    Margin Statistics
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