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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in accordance with their terms.
Ornella Bergeron is a Senior Vice President in Member Supervision, responsible for leading FINRA’s Risk Monitoring Program. The Risk Monitoring team is a member firm’s primary contact point at FINRA. Through its ongoing and proactive monitoring, Risk Monitoring enables FINRA to implement a risk-based program that effectively focuses its resources and regulatory responses on risks of concern.
Bill St. Louis is an Executive Vice President and Head of Enforcement. In this role, Mr. St. Louis manages and directs FINRA’s Enforcement national operations. He also leads the development of FINRA’s national enforcement policies and procedures, and oversees the prosecution of firms and individuals for disciplinary action.