OverviewThis guidance is intended to provide direction on key information for a prospective and existing FINRA member firm that is contemplating to engage in activities utilizing an online platform or mobile application.1 Under Standard 6 of FINRA’s Standards for Admission (Standard), an applicant’s online platform or mobile application that the applicant intends to employ for the purpose of
CRD FAQ - Form Filing for Individuals - Disclosure
This data provides up to 10 years end of day trade activity for on-the-run nominal coupon treasury securities. View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Trade Activity Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury Securities to the Trade Reporting And Compliance Engine (TRACE), the
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.
CRD constituents may choose to request a report or set of data that is not available through the standard reports library. For additional information, please refer to the Reports Quick Reference Guide.An Ad Hoc Report can be customized by the requestor, within policy limits established by FINRA, to include a variety of data elements and will be delivered in the format requested by the constituent
SummaryFINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2
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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.
MSRB Markup/Markdown Analysis Report
The report is a monthly compliance tool that provides an analysis of the markup
The FINRA Board approved FINRA’s 2025 budget and a rulemaking item related to outside business activities and private securities transactions, and appointed new members to the SFAC and NAC.
The number of shares in the market directly influences the value of those shares, and therefore the investments holding them. Anything that changes that count, no matter how many or how few, MUST be reported and published in order for investors to make informed decisions. There is NO situation where the dilution or concentration of available shares should be withheld from investors.
