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.
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility for trade reporting but elect to purchase specified services from it.
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for
Join us for an essential webinar exploring emerging strategies and best practices fo
The FINRA Institute at Georgetown Certified Regulatory
The Small Firm Conference focuses on small firms' practices and tips for complying w
The FINRA Institute at Georgetown Certified Regulatory
