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.
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.
