Securitized Capped Volume Report , published the first business day of each month.
FINRA's Disciplinary Actions database enables users to perform Web-based searches for FINRA Actions that were issued from January 1, 2005 to the present free of charge, seven days a week.
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation Electronic Files (AREF)Annual ReportsBlue SheetsCustomer Margin Balance ReportingDerivatives and Other Off-Balance Sheet Items Schedule (OBS)Distribution ManagereFOCUSFINRA Contact SystemFINRA Firm Clearing Arrangements FilingFINRA Rule
NASDR is filing with the SEC a proposed rule change to adopt new NASD Rule 2315, which requires members to review current issuer information prior to recommending a transaction to a customer in an over-the-counter ("OTC") equity security. Additionally, the proposed rule change would amend NASD Rule 6740 to permit members to submit a certification to the Association that states that the
ADF Data Delivery Plus
Firms that subscribe to ADF Data Delivery Plus pay a monthly fee for each MPID enrolled in the optional service. The monthly charge is based on the number of Plus reports the firm received during that month:
0 – 5 Plus Reports Received
6 – 25 Plus Reports Received
> 25 Plus Reports Received
$60
$80
$100
ADF Data Delivery SFTP
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The Report Center provides firms with secure access to data and reports that help firms detect potential compliance problems early. FINRA Report Center provides report cards that cover a variety of topics and rulesets. Reports on the Report Center do not relieve a firm from compliance obligations imposed under FINRA’s By-Laws and Rules, and will not
For your firm to become a registered funding portal with FINRA, your firm must complete the following steps.1. Reserve Your Firm’s NameMake sure to request and reserve a proposed name for your firm from FINRA before filing with the SEC. FINRA checks that the name is not identical to an existing member firm’s name or so similar that it will confuse or mislead others.To reserve a name, please
