Data Feed/FTP Access Transaction Information5 Real-TimeDelayed1FINRA Real-Time Data Feed$1,500Not AvailableRe-Transmission Vendor Feed$1,500No ChargeData Display Transaction Information Real-TimeDelayed (not available directly from FINRA)Professional User$60No ChargeEnterprise License2$7,500No ChargePersonal, Non-Commercial Use3No ChargeNo ChargeEnhanced Historic TRACE Data4
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These reports and report cards display summaries and statistics related to various risk factors, including sales practice and customer complaints, and more.Canceled and As-Of Trades ReportIn Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE
FINRA Rule 2360(b)(3)(B) provides that "...no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee therof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
Required information, personal items allowed and test-center provided aids for Pearson VUE and Thomson Prometric test sites.
The OATS Web Interface is intended for all Order Sending Organizations (OSOs) — including member firms and third parties acting on behalf of member firms.
On this free, on-demand recording of a WebEx presentation, FINRA staff members discuss new and updated fixed income-related Report Cards.
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
