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FINRA Utility Menu

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For the Public

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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For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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  1. About FINRA
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  3. FINRA360 Progress Report
EXPLORE THIS SECTION

FINRA360 Progress Report

  • Operations
    • Changes to FINRA Enforcement Structure
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    • FINRA Annual Budget Summary and Financial Principles
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    • Data and Analytics
    • Regulatory Operations Oversight Committee (ROOC)
    • Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
    • Central Registration Depository (CRD) Improvements
  • Regulatory Policy
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  • Engagement
    • Examination Findings
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    • Small Firm Helpline
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    • Changes to FINRA Rulemaking Process
    • Changes to Engagement with Member Firms: Compliance Tools and Resources
    • Innovation Outreach Initiative
    • Industry Continuing Education (CE)
    • Enhancements to the Securities Industry Continuing Education Program (CE Program)
    • FINRA Governance and Transparency
    • Annual Industry Snapshot

Engagement

FINRA has enhanced its engagement with key stakeholders to provide greater transparency and foster dialogue that helps us better understand the industry and markets we regulate.

  • Examination Findings
  • Changes to FINRA Advisory Committees
  • Small Firm Helpline
  • Small Firm Report
  • Additional Small Firm Initiatives
  • Changes to FINRA Rulemaking Process
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  • Innovation Outreach Initiative
  • Industry Continuing Education
  • Enhancements to the Securities Industry Continuing Education Program (CE Program)
  • FINRA Governance and Transparency
  • Annual Industry Snapshot

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States

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