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.
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-01-2026 | https://public.s3.com/rule605/vgrd/ | |
| 07-09-2026 | https://public.s3.com/rule605/vgrd/ [public.s3.com] |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | National Association of Insurance and Financial Advisors (NAIFA) |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must be NAIFA members and be actively engaged in a profession related to financial services, insurance, mortgage lending, retirement planning, wealth management, or a related advisory field. |
| Designation Training Requirements | Training program offered via online, in-person or hybrid instruction |
| Designation Exam Type | Closed book, proctored final exam offered online or in-person |
| Continuing Education Requirements | 1 hour annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Find a Financial Professional |
| Investor Complaint Process | Submit complaints in writing to: |
| Published List of Disciplined Designees | None |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | International Council for Derivative Trading (ICFDT) |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Optional self-study curriculum or ICFDT-authorized training program |
| Designation Exam Type | Online or in-person proctored exam |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | Online at CFOA Registry |
| Investor Complaint Process | Submit complaints via email to [email protected] |
| Published List of Disciplined Designees | None |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Daylight Advisors, Inc. |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must have three years of related work experience (e.g., wealth or tax advising, fundraising or gift planning, foundation staffing, philanthropy or nonprofit consulting) |
| Designation Training Requirements | Online, self-study training program and live group discussions |
| Designation Exam Type | Open-book quiz at the end of each course |
| Continuing Education Requirements | 10 hours annually |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-08-2026 | https://www.pumacap.com/605606?PUMA_605 |
Features |
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-08-2026 | https://public.s3.com/rule605/mcap/ |
FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).