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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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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
  2. FINRA360
  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
    • Interim Report on Use of Fine Monies
    • 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
    • Retrospective Rule Review
    • Qualification Exam Restructuring
    • Capital Raising
  • Engagement

Operations

FINRA360 has yielded a number of organizational and operational changes aimed at making FINRA a more efficient, more effective regulator.

  • Changes to FINRA Enforcement Structure
  • FINRA Examination Program Improvements
  • FINRA Annual Budget Summary and Financial Principles
  • Interim Report on Use of Fine Monies
  • 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

ARBITRATION & MEDIATION

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

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