1. What is E-Bill and what can I do in E-Bill?
E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments, and view and pay FINRA invoices.
What's New In E-Bill?April 2024E-Bill is now integrated into FINRA Gateway. FINRA's financial system enables entitled users to view financial details, submit payment to firm accounts and invoices, and create transaction reports. Users can access the new E-Bill experience by logging in to FINRA Gateway or navigating through other systems (for example, FPRD).For more information, please
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
Industry Governor (Small Firm Representative)President and CEO, Bley Investment Group, Inc.Governor Since 2018Committees: Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperiencePresident and CEO, Bley Investment Group, Inc. (2021 – Present)President, CFO, CCO, McLaughlin Ryder Investments, Inc. (2020 – 2021)Executive Vice President,
General1. Q: Why does FINRA publish the Sanction Guidelines?A: FINRA publishes the Sanction Guidelines to familiarize member firms and associated persons with the disciplinary sanctions that could result from typical securities industry rule violations.2. Q: Who develops the sanctions and fines?A: The National Adjudicatory Council (NAC), the appellate body for FINRA disciplinary actions
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, March 29, 2024.
The National Adjudicatory Council (NAC), has developed the FINRA Sanction Guidelines for use by the various bodies adjudicating disciplinary decisions, including Hearing Panels in FINRA’s Office of Hearing Officers and the NAC itself (collectively, the Adjudicators), in determining appropriate remedial sanctions. FINRA publishes these Sanction Guidelines so that members, associated persons and
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day, week or month. The weekly format was discontinued as of February 2023; weekly format history is available.Treasury Daily Aggregate StatisticsTrading volume in US Treasury Securities reported to TRACE for the prior day.Treasury Monthly Aggregate StatisticsTrading volume in US Treasury Securities
Expungement, as an extraordinary remedy, should be recommended only in circumstances in accordance with FINRA rules to remove clearly inaccurate customer dispute information from the record of an individual broker that is associated with a broker-dealer firm.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of March 22, 2024.
