Common Contracts

Participant Agreement/Terms and Conditions

Participant Agreement • September 7th, 2016 • New York

• Contract Type
  Participant Agreement
• Filed
  September 7th, 2016
• Jurisdiction
  New York

The Financial Industry Regulatory Authority, Inc. (“FINRA”) collects, compiles, organizes, indexes, digitally converts and maintains regulatory information from registered persons, member and non-member firms, government agencies, other regulatory and enforcement authorities as well as other sources and maintains such information in FINRA proprietary and licensed databases. FINRA collects from and releases certain information to authorized persons through various FINRA programs and systems, including the Web Electronic Filing Transfer Program (“Web EFT”) for Web CRD® filings.