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INSITE

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In 2002, FINRA implemented substantial changes to its member examination program through the introduction of a new business process, called INSITE, which uses technology to focus FINRA regulatory oversight activities on potentially high-risk areas. INSITE includes a surveillance system which establishes a rigorous process to measure and monitor a wide range of broker/dealer activities. The system draws on data from FINRA databases and from members either directly or through their clearing firms or service providers. The member firm information used in INSITE is provided pursuant to  NASD Rule 3150 which requires carrying firms to electronically report certain data on behalf of the correspondent clients and all self-clearing firms to report this data on their own businesses.

Please view this important information about INSITE.

• INSITE Technical Specifications (PDF format 695 KB)
• INSITE Firm Data Filing Certification Testing Requirements (PDF format 437 KB)
• NASD Rule 3150
• • View Approval Order for NASD Rule 3150
  • NASD Rule 3150: Reporting Requirements for Clearing Firms
  • IM-3150: Exemptive Relief
  • Notice to Members 01-84: SEC Approves NASD Rule Proposal Requiring Member Clearing and Self-Clearing Firms To Report Prescribed Data
  • Notice to Members 04-24: SEC Announces Immediate Effectiveness of IM-3150 Governing Exemptions from the Reporting Requirements of NASD Rule 3150
  • Notice to Members 05-72: SEC Approves Amendments to NASD Rule 3150, Regarding Reporting Requirements for Clearing Firms, and NASD Rule 3230, Regarding Requirements for Clearing Agreement
    
    
• Frequently Asked Questions
• • Important FAQ on NASDAQ Reporting 
    
    
• Look Up an MPID (National Securities Clearing Corporation Web site)

Questions regarding the information on this Web site may be submitted via email.