Unauthorized Expenditures
Sec. 3. No officer, employee, member of the Board or of any committee shall have any power to incur or contract any liability on behalf of the Corporation not authorized by the Board.
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.
Amended by SR-NASD-2007-023 eff. July 30, 2007. Amended by SR-NASD-97-71 eff. Jan. 15, 1998. |
Amended by SR-NASD-97-71 eff. Jan. 15, 1998. |