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 following list of factors should be considered in conjunction with the imposition of sanctions with respect to all violations. Individual guidelines may list additional violation-specific factors.
The regulatory mission of FINRA is to protect investors and strengthen market integrity through vigorous, even-handed and cost-effective self-regulation. FINRA embraces self-regulation as the most effective means of infusing a balance of industry and non-industry expertise into the regulatory process. FINRA believes that an important facet of its regulatory function is the building of public confidence in the financial markets.
| Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements | 48 |
| Backing Away | 49 |
| Best Execution—Failure to Comply With Requirements for Best Execution | 50 |
| Branch Offices—Failure to Register | 39 |
| Cheati |
Disqualified Persons—Failure to Discharge Supervisory Obligations
FINRA Rules 2010 and 3110