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Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Information Notice - 4/13/13
Continuing Education Planning
Information Notice - 12/30/14
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Election Notice – 9/2/15
Upcoming Election to Fill FINRA District Committee Vacancies
Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Information Notice - 12/3/12
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Information Notice - 10/19/12
On October 19, 2012, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.
Information Notice - 3/18/15
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
DR Portal Quick Reference Help Guides
Help for Arbitrators I don’t know how to register for the DR Portal I’m having trouble registering for the DR Portal I’m having trouble uploading documents to or downloading documents from the DR Portal Help for Parties I’m a Claimant who filed a Statement of Claim but I can’t access the case on the DR Portal I’m Claimant’s counsel and I can’t access the case on the DR Portal I’m a