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.
This course will explain residential supervisory location (RSL) qualifications, how to function from an RSL and how to report a location as an RSL.
Estimated Completion Time: 15 Minutes
This course reviews MSRB Rule G-11, which governs dealer procedures for new municipal securities sales and customer order priority.
Estimated Completion Time: 15 Minutes
This course focuses on trading restrictions and firm policies relating to preventing the use of nonpublic advance knowledge of research report content for the benefit of the firm or any other person. It also provides information about limiting information flow between the research department and the trading department.
Estimated Completion Time: 10 Minutes