BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
The U.S. Social Security Administration offers a service that enables employers to verify the social security numbers (SSN) of employees. FINRA recommends that its member firms consider using the SSN verification service in connection with the pre-registration or employment process.
The verification process differs depending on the number of names or SSNs your firm wants to check:
Up to 5
The Report Center provides firms with secure access to data and reports designed to support their compliance activities.
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities.
Implementation will occur in two parts, starting with the
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Step-by-step instructions on accessing and updating FCS information and access to frequently asked questions.
Background information about FINRA Contact System (FCS) and related Notices.
Following is a list of revisions to the TRACE CTCI Technical Specification.
Revised Version 1.8
(published 09/09/02)
Section 3.1 - Re-inserted section explaining agency trade reporting, Give-Up trade reports, and AGU trade reports, which was inadvertently deleted from Version 1.7.
Appendix B - Updated message "!REJ - TEMPORARILY NOT AVAILABLE" to "!REJ - TRACE
