Filing & Reporting
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To ensure the integrity of the markets, we help brokerage firms understand how to comply with all regulations and guidelines and when to report on their activities.
Filing & Reporting
To ensure the integrity of the markets, we help brokerage firms understand how to comply with all regulations and guidelines and when to report on their activities.

Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.

FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic regulatory environment.

We have the resources, technology, skills and staff to help protect the integrity of our markets. And our tools can help improve the reporting process for firms.

Do you have a question about a system outage?

FINRA systems now report scheduled and unexpected system outages or disruptions, as well as any known workaround or resolution information as it’s discovered.

Check System Status

Upcoming Filing Due Dates

View the Compliance Calendar

Introducing FINRA Gateway

Introducing FINRA Gateway

Technology shouldn’t slow you down – it should make you more efficient. That’s why FINRA is launching the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.

LEARN MORE ABOUT FINRA GATEWAY