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.
Starting Oct. 14, firms can submit Forms U5 and BR Termination filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.
Firms must submit any amount owed on the Final Statement to FINRA by this day. Money can be deposited directly into the Renewal Account, or firms can rely on FINRA to transfer funds from the firm's Flex-Funding Account beginning Jan. 24. In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.
Final Statements are available in E-Bill on Jan. 2.
Preliminary Statement reports are replaced with Final Statement reports in CRD/IARD.
Many firms find it convenient to schedule any required payment while logged in to E-Bill to retrieve the statement. If additional payment is not required, the Final Statement will reflect "Paid in Full." Any overpayment FINRA received from a firm is now available in the firm’s Flex-Funding Account.
The CRD/IARD system shuts down for the year at 6 p.m. on Dec. 26. Firms should ensure that they perform the following activities before the shutdown occurs:
Submit registration filings. This includes terminating any registrations that firms do not want to renew for 2025.
FINRA-registered firms should ensure payment is received and posted to your account by this day. Money can be deposited directly into your firm’s Renewal Account, or firms may rely on FINRA to transfer the money from your firm's Flex-Funding Account that begins Dec. 9. In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.
A mass transfer is used to systematically transfer individuals and branch offices from one firm to another firm as a result of a merger, acquisition, succession or consolidation. Nov. 27, 2024, is the last day firms can request a mass transfer this year. There will be a moratorium on mass transfer processing from Dec. 19, 2024, through Jan. 2, 2025.
Preliminary Statements are available in E-Bill beginning Nov. 11. E-Bill is now integrated into FINRA Gateway. Entitled users can access the new E-Bill experience by logging in to FINRA Gateway to view renewal accounts, generate annual renewal statements, pay annual renewal assessments, and enable email alerts about the Renewal Program. Many firms find it convenient to submit or schedule their payment while logged in to E-Bill to retrieve the statement. Preliminary Statement reports are also available in CRD and IARD.
Starting Nov. 1, firms can initiate Forms BDW and ADV-W filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.