Find the latest summary case statistics
View number of cases and arbitrators per hearing location through the previous month.
The FINRA/Nasdaq TRF1 is currently experiencing an issue which is causing rejects from the FINRA/Nasdaq TRF Carteret. Please refer to the Nasdaq Trader notice posted relating to this problem.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
View frequently asked questions related to portfolio margining under FINRA Rule 4210.
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 11, 2025. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 10,
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
CRD - FAQ Form Filing for Individuals
