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FINRA Utility Menu

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FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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  1. Rules & Guidance
  2. Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

  • FINRA Manual
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Guidance
  • Guidance
    Interpretive Letter to Janet Dyer, National Financial Services, LLC
    April 26, 2023
  • Guidance
    Interpretive Letter to T. Douglas Hollowell, UBS Financial Services, Inc.
    July 24, 2020
  • Interpretive Letter
    Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
    June 02, 2006
  • Interpretive Letter
    Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
    February 03, 2005
  • Interpretive Letter
    Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
    November 10, 2004
  • Interpretive Letter
    NASD Office of General Counsel, Regulatory Policy and Oversight
    November 08, 2004
  • Interpretive Letter
    Interpretive Letter to Barry Harris, Banc of America Investment Services, Inc. (Use of Negative Response Letters)
    October 20, 2004
  • Interpretive Letter
    Interpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters)
    May 01, 2003
  • Interpretive Letter
    Interpretive Letter to Doug Wright, The Investment Center, Inc. (Use of Negative Response Letters)
    February 03, 2003
  • Interpretive Letter
    Interpretive Letter to Marion A. Kashan, London Pacific Securities, Inc. (Use of Negative Response Letters)
    February 03, 2003
  • Interpretive Letter
    Interpretive Letter to Justine Rusin, Merit Capital Associates, Inc. (Use of Negative Response Letters)
    October 16, 2000

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