FINRA Gateway is a portal for firms to access and submit data as needed for compliance functions, such as research, reporting and responding to requests.

Published each year, this Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related considerations for member firm compliance programs, (2) summarizes noteworthy findings from recent examinations and outlines effective practices that FINRA observed during its oversight, and (3) provides additional resources that may be helpful to member firms.

The FINRA Industry Snapshot  provides a high-level overview of the industry, including revenues of firms and how firms market their products and services. All of the data are reported in aggregate to respect the confidentiality of regulatory information.

FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.

The Financial Industry Networking Directory (FIND)™ is a new FINRA service that looks to connect individuals with financial services firms that are recruiting for full-time employment and internship positions. Learn more below about how you can join and benefit from FIND.

Reports cards published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.

BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers.