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 protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against financial exploitation, but it also suggested some additional tools, guidance and rule changes.
FINRA New Issue Form Changes – Live Today
This is a reminder that beginning today, Monday, September 28, 2020, the updated FINRA New Issue Form is live. Users can access the new platform by going to https://newissue.finra.org or via the FINRA New Issue quick link in the FINRA Gateway and logging in with the same log in credentials used to access the retired FINRA New Issue Form.
