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  • Rules & Guidance
      1. R&G Section 1
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      2. R&G Section 2
        1. The Rulemaking Process
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        1. Adjudications & Decisions
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      4. R&G Section 4
        1. Enforcement
          1. Disciplinary Actions Online
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  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
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      2. Registration Section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
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        2. Continuing Education (CE)
          1. View a Regulatory Element Learning Plan
      3. Registration Section 3
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  • Events & Training
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      2. For Investors Section 2
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      3. For Investors Section 3
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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.

Login

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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EXPLORE THIS SECTION
Insight
Appendix – Using FINRA Reports in Your Firm’s Compliance Program
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Segregation of Assets and Customer Protection
Insight
Liquidity Risk Management
Insight
Net Capital
Insight
Financial Management
Insight
Extended Hours Trading
Insight
Market Access Rule
Insight
OTC Quotations in Fixed Income Securities
Insight
Fixed Income – Fair Pricing
Insight
Regulation SHO – Bona Fide Market Making and Close-Out Requirements

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