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.
Dalia Powers has more than 25 years of experience leading enterprise-scale engineering, digital, data, AI, cybersecurity, and technology organizations across healthcare, financial services, insurance, and technology sectors. Throughout her career, she has built a reputation for transforming complex organizations, modernizing technology platforms, and delivering measurable business outcomes while operating in highly regulated environments.
FINRA has adopted amendments to Rule 1210.06 (Waiting Periods for Retaking a Failed Examination) that shorten the retake waiting periods for FINRA qualification examinations from 30 calendar days to 15 calendar days after the first and second failed attempts, and from 180 calendar days to 60 calendar days after the third and any subsequent failed attempts within a two-year period. The amendments will become effective on January 19, 2027.
Rule Filing Status: Approved
Rule change to amend FINRA Rule 4515.01 to expand the current exception from the rule’s principal approval requirements to apply to all allocations of bulk investment adviser orders, irrespective of when allocation instructions are received.
