1. How do I submit form filings to CRD?Upon completion of a filing, select the Completeness Check link to run a completeness check for systematic errors within the form. If the completeness check is successful, click the Summary option in the left-hand navigation menu and click the Review Form button. This allows you to review the information in Form View, which matches the layout of the legal
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
The Senior Investors and Trusted Contact Persons topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Request Manager facilitates the electronic exchange of information between firms/individuals and FINRA. With Request Manager, which is available via the FINRA Gateway and its designated portal, firms and individuals are able to securely submit, manage and track FINRA information requests.
Resources
Request Manager User Guide
FINRA Gateway page
FINRA Publishes a Request for Information by
Nominees for Vacant FINRA Board of Governors Large Firm Seats
<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
Natural disasters can bring out the worst in some people, some of whom seek to exploit the situation to commit financial fraud. Learn how to spot and protect yourself from potential disaster-related investment scams.
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
JOINT REQUEST FOR COMMENT
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Correspondence—General
Electronic Communications
Rule 2210 (Communications with the Public)
Rule 2211 (Institutional Sales Material and Correspondence)
Rule 3010 (Supervision) Supervision
