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In FINRA arbitration, the majority of customer cases – approximately 69% – result in settlements reached by the parties. Typically, appoximately 18% of all cases proceed to award. For more information on how cases close, view the dispute resolution statistics.
Settlement – The vast majority of settlements result in monetary relief for the customer claimant.
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
The following links should be helpful when filing online for your firm and associated individuals:
CRD System and Related Links
Electronic Fingerprint Processing
Electronic Fingerprint Submission (EFS)
Filing Guidance Related to Registration Forms
Current Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)
Investment Adviser Representative (RA) Form Filing
Small Firm Advisory Committee Elections
The Small Firm Advisory Committee (SFAC) election kicks off in early September. FINRA publishes an Election Notice announcing vacancies on the SFAC and the process for candidates in the five geographical FINRA regions—North, South, Midwest, West and New York—to have his or her name added to the ballot. A spot on the SFAC for your region will be available
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker/dealer books and records rules.
A Snapshot Report is generated from the Central Registration Depository (CRD®) and provides background information on an individual's securities and investment advisory experience and related qualifications.
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
n the event a Vendor misses transmission of TRACE data and would like to request retransmission, please follow the steps outlined on this page. Note: Only existing vendors can request retransmission of TRACE data.
Customer and Industry Code Deadlines