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.
The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.
Firms should note the following key dates in the renewal process:
October 19, 2020 Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via CRD/IARD.
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA rules to reflect name changes to two FINRA departments: the Office of Dispute Resolution and the Department of Registration and Disclosure.