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.
In 2024, FINRA implemented streamlined and intuitive data entry process for firms’ Financial Notifications and Regulatory Notifications, which includes a new amendment function to help firms make updates and changes to forms. Join this webinar for a high-level overview of this implementation and a demonstration of the new forms.
FINRA’s Third-Party Vendor request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. This is the second webinar that will review frequently asked questions (FAQ) that are received after the request goes out.
FINRA’s Third-Party Vendor request asks firms to submit information on all third-par
