FINRA’s Cyber Crimes Conference (C3) is a one-day event on Tuesday, October 28, 2025, that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks. Whether you work in information security, information technology, cybercrime, compliance or are a business owner, you will learn from leading
To conduct securities transactions and business with the investing public in the United States, firms must file Form BD with the U.S. Securities and Exchange Commission, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions. Firms can file full or partial withdrawals of registration by submitting Form BDW (Uniform Request for Broker-Dealer Withdrawal).Applicant
FINRA's mission is to safeguard the investing public against fraud and bad practices. We pursue that mission in five important ways to enable a fair, balanced, inclusive market where everyone can invest with confidence:1. Deter misconduct by enforcing the rulesWe write and enforce rules and regulations for every single brokerage firm and broker in the United States. That includes requiring
(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, and any retail communication (as
CRD Payment Methods and Addresses
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
The following is a checklist to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for FINRA membership, which is initiated through the submission of the New Member Application (or Form NMA), which is reviewed by FINRA’s Membership Application Program (MAP) Group.
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
On-Site Review Program (OSR)
FINRA Extends Comment Periods for Rule Modernization Notices 25-04, 25-06 and 25-07.
