For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-08-2022 | https://www.fisglobal.com/en/ptc/rule-605 |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-13-2015 | https://public.s3.com/rule605/btig/ |
| Submit Date | Report URL | Comments |
|---|---|---|
| 12-11-2019 | https://www.bofaml.com/en-us/content/best_execution.html | Reports prior to 10/2019 https://www.ml.com/legal.html#tag2 |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-02-2016 | https://vrs.vista-one-solutions.com/sec605rule.aspx |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-27-2019 | https://vrs.vista-one-solutions.com/sec605rule.aspx |
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-06-2015 | https://vrs.vista-one-solutions.com/sec605rule.aspx | Prior to 4/13/09, data can be found at www.marketsystems.com |
| Submit Date | Report URL | Comments |
|---|---|---|
| 11-10-2015 | https://vrs.vista-one-solutions.com/sec605rule.aspx |
| Submit Date | Report URL | Comments |
|---|---|---|
| 11-02-2020 | https://vrs.vista-one-solutions.com/sec605rule.aspx |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-29-2022 | https://brileyfin.com/disclosures#securities | Prior to 8/29/22 https://brileyfbr.com/legal/legal_disclosures/ |
| Submit Date | Report URL | Comments |
|---|---|---|
| 02-24-2020 | https://vrs.vista-one-solutions.com/sec605rule.aspx |