View an index of archived OATS Reports in the page.
CRD constituents may choose to request a report or set of data that is not available through the standard reports library. For additional information, please refer to the Reports Quick Reference Guide.An Ad Hoc Report can be customized by the requestor, within policy limits established by FINRA, to include a variety of data elements and will be delivered in the format requested by the constituent
On June 19, 2015, amendments to SEC Regulation A (Regulation A +) will become effective. Members that anticipate participating in Regulation A + offerings must file them with FINRA using the Public Offering System. FINRA has updated the Public Offering System with six new forms that will be available on June 19, coupled with the associated amendments and two new “Deal Characteristics” specific to
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
On June 30th of this year, a leap second will be added after 23:59:59 GMT.
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Securitized Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternate Trading System), Interdealer, and Dealer-to-Dealer categories. The monthly data is published on the third business day following the end of the month.
Rulemaking Items for Discussion at the July 2014 Meeting
