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
This course explores general financial and operational books and records requirements. It also emphasizes the importance of maintaining records and managing risks associated with third-party vendors and financial accounts and records.
Estimated Completion Time: 20 Minutes
This course provides information on the initial public offering (IPO) process and permissible communications at each stage of an IPO. It also highlights prospectus documents and their delivery requirements.
Estimated Completion Time: 10 Minutes
This course is designed to help learners describe various types of orders, provide current quotes to customers, and communicate effectively with customers regarding orders and transactions.
Estimated Completion Time: 10 Minutes
In this course, learners will explore common scam trends and signs of possible scam victimization, demonstrate next steps to take if they suspect a customer is being scammed, and learn how to prevent victimization.
Estimated Completion Time: 25 Minutes
This course aims to help learners identify firm responsibilities regarding continuity in coverage and procedures for when a registered representative has left the firm.
Estimated Completion Time: 10 Minutes
This course focuses on the second component of SEC Regulation BI’s Care Obligation. In this course, learners will apply the SEC's guidance on making a recommendation in the best interest of one particular retail customer and explore effective practices for ensuring that registered persons understand the process for evaluating reasonably available alternatives.
Estimated Completion Time: 10 Minutes