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.
Cada año, realizamos miles de investigaciones de posibles violaciones de las normas, reglamentaciones y leyes relacionadas con la industria de valores.
A menudo, la decisión de un solo cliente de hablar con el personal de FINRA es la clave para destapar una estafa tipo Ponzi o responsabilizar a un estafador financiero.
Earlier this year, FINRA introduced its Transparency Services Infrastructure Initiatives project and created a web page detailing this effort. Items highlighted on this web page include an infrastructure upgrade to the existing TRACE Trade Reporting system web application (TRAQS), a new web application for Issue Management, and enhanced Reference Data tools including firm access to manage their own entitlement.
