Submissions can be made via the Submission API 24/7; however, registration-related submissions (U4, U5, BR, Create Individual and NRF) are processed only during CRD hours: https://www.finra.org/registration-exams-ce/classic-crd/web-crd-availability-schedule

Specific Terms for Equity Data

These Specific Terms for Equity Data supplement the FINRA API Terms of Service (“Terms of Service”) and, together with the Terms of Service and the API Program Terms, govern Developer’s use of the Query API to access and use the Licensed Data included in the “Equity” data category (the “Equity Data”). These Specific Terms were last updated on December 20, 2022.

Calling Notification API will NOT be counted toward the data usage.

Notifications are returned based on event type. You have to call API separately to get notifications related to each event type. 

Example: For FINRA Rulebook Notification you have to call the endpoint with event-type: "finrarulebook" and for notifications related to other events you will have to call the endpoint again with their respective event-type.

You can get full information regarding the change by calling related Query API dataset using the details provided by the Notification API. 

Affiliated firms are not charged a separate credential fee as long as a parent org has a PAID (Firm) credential. Affiliated firms are however, responsible to monitor their data usage and will be charged for any overages incurred. To learn more about the FINRA API Affiliate program, click here.

Please note that participation in the affiliate billing program is not automatic. Firm must proactively request to participate and any API invoices generated prior to FINRA receiving the firm's request will be valid.

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