For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
In this course, learners will apply the SEC’s guidance on evaluating a series of transactions in the context of a customer’s overall financial situation and goals. They will also review the broker-dealer’s role in overseeing compliance with the quantitative component of the Care Obligation.
This course provides an overview of the most recent amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and conforming amendments to additional rules. The amended rules’ effective date is March 30, 2026.