We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date.
- I’m not sure I understand how the DR Portal works. What is the process for initiating a new arbitration case and registering the party representatives to it?
- How do I create an online account so that I can access the Dispute Resolution (DR) Portal?
- I locked my account by mistyping my password several times.
The Fixed Income Distributions file is a cumulative list of distributions that have been announced during the calendar year. These include cash, stock and in kind distributions as a result of a bankruptcy reorganization plan, default interest payments, or other distributions in fixed income securities. FINRA’s Operations Department reviews and processes these company-related actions pursuant to SEA Rule 10b-17 and FINRA Uniform Practice Code (FINRA Rule 11000 Series) to facilitate the orderly trading and settlement of OTC securities.
FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017. For details regarding this change, see Regulatory Notice 16-32.
FINRA President and CEO Robert Cook, Chairman of the Board Jack Brennan and Finance Committee Chair John Davidson review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board rulemaking actions is also available.
To help firms monitor their reporting of TRACE-eligible securities, FINRA offers TRACE Quality of Markets Report Cards for Securitized Products, Corporate Bonds, and Agency Debt.
The report cards include the following features:
These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
These reports and report cards display summaries and statistics related to various risk factors, including canceled trades, sales practice and customer complaints, and more.
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|Continuing Education Regulatory Element Report|
These report cards will help firms track their compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.