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Rule Filing
SR-FINRA-2021-011
May 12, 2021
SR-FINRA-2021-011 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member Application…
Board of Governors Meeting
May 2021 Board Update
May 26, 2021
May 2021 Board Update FINRA’s Board of Governors met on May 18 and 19, when it approved FINRA’s 2020 Annual Financial Report, approved a proposal to adopt term limits for members of FINRA’s advisory committees, and approved a proposal to…
Blog Post
Why The Best Mid-Sized Company to Work In IT Is A Financial Regulator – FINRA. Again.
July 12, 2021
Why The Best Mid-Sized Company to Work In IT Is A Financial Regulator – FINRA. Again. July 12, 2021 Steve Randich…
Custom Landing Page
Leadership in Technology
Leadership in Technology Innovative technology is vital to FINRA’s ability to protect investors and safeguard a vibrant marketplace that works for everyone. Our commitment to pioneering technology enables FINRA to keep pace with complex securities markets that are constantly evolving…
Article
Awards and Recognition
Awards and Recognition At FINRA, we believe in our smart, passionate, dedicated employees—and that’s why we’re committed to fostering an inclusive and diverse workplace. Our diversity and inclusion programs not only have been successful…
Technical Documentation
Volume Reports
August 3, 2015
Volume Reports Corporate and Agencies Capped Volume Report  (CSV12 KB) Securitized Products Capped Volume Report  TRACE Monthly Volume Report TRACE Monthly Volume Report for 2021 TRACE Monthly Volume Report for 2020 TRACE…
Technical Notice
Notice: Enhancements to TRACE Volume Reports
July 12, 2021
Technical NoticeNotice: Enhancements to TRACE Volume ReportsJuly 12, 2021 TRACE Volume Reports are produced on a monthly basis for TRACE participants to review TRACE activity for the past month by sub-product. FINRA will implement…
Podcast
Introducing Stephanie Dumont
July 13, 2021
Introducing Stephanie Dumont FINRA’s Market Regulation and Transparency Services department sits at the center of the U.S. securities markets, conducting ongoing oversight within and across markets and providing transparency to help investors make informed decisions. On this episode, we meet Stephanie Dumont, the new head of FINRA’s Market Regulation and Transparency Services department. Stephanie shares her priorities, her…
Arbitration and Mediation
Voluntary Orientation Webinar Schedule
May 15, 2017
Voluntary Orientation Webinar Schedule Following is a schedule of voluntary orientations offered via webinar. To register for an orientation, please email Chris Avery or call (213) 613-2673. Only approved arbitrators who have successfully completed the online basic and expungement trainings may attend an orientation. View more information about applying to become an Arbitrator. Note that all times listed are Eastern Time. Date Time…
About FINRA
FINRA Executives
FINRA Executives */ Robert W. Cook President and Chief Executive Officer Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the…