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 Report: Filed for Immediate Effectiveness
Rule change to adopt FINRA Rule 1240.03 and make a conforming amendment to FINRA Rule 1240(a)(6) to establish an interim program of Regulatory Element Continuing Education that would be voluntary and provide member firms with the option for their senior leaders to complete continuing education.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) and make a conforming amendment to FINRA Rule 1240(a)(6) (Delivery of the Regulatory Element) to establish an interim program of Regulatory Element Continuing Education (“CE”) that would be voluntary and provide member firms with the option for their senior leaders to complete continuing education.
