As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. FINRA will support a new
As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. FINRA will support a new
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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FINRA observed some instances in which firms have had difficulty meeting various aspects of their obligations under Regulation SHO and relevant FINRA rules:
Supervision of Third-Party Order Management Systems
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.Personal Information RequiredAs a matter of
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Summary Arbitration Statistics December 2012
New Case Filings through December:
2010
5,680
2011
4,729
2012
4,299
2012 vs 2011
-9%
Number of Cases Closed through December:
2010
6,241
2011
6,099
2012
4,877
2012 vs 2011
-20%
Turnaround Time1 (in months) through December:
Year
Summary Arbitration Statistics December 2013
New Case Filings through December:
2011
4,729
2012
4,299
2013
3,714
2013 vs 2012
-14%
Number of Cases Closed through December:
2011
6,099
2012
4,877
2013
4,498
2013 vs 2012
-8%
Turnaround Time1 (in months) through December:
Year
