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.
I am an individual investor. I would like to propose that, FINRA should expressly state that a member may not discriminate among customers with the same privileges and access placing substantially the same orders.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Association of Global Compliance & Technology (AGZIT) |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Online, optional study guide |
| Designation Exam Type | Online, closed-book, final exam |
| Continuing Education Requirements | Three continuing education activities annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Verify a Credential (to check a credential ID) |
| Investor Complaint Process | Submit complaints online via contact page |
| Published List of Disciplined Designees | None |