Regulatory Filing Systems
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.
- Advertising Regulation Electronic Files (AREF)
- Annual Reports
- Blue Sheets
- Customer Margin Balance Reporting
- Derivatives and Other Off-Balance Sheet Items Schedule (OBS)
- Distribution Manager
- eFOCUS
- FINRA Contact System
- FINRA Firm Clearing Arrangements Filing
- FINRA Rule 4311(h)(2)
- Form 211 Filings
- Information & Testimony Requests
- MCDC Initiative (Applications Received)