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.
These events are designed to strengthen your firm's cybersecurity preparedness—including the debut of a brand-new format we believe will transform how you approach incident response. Attend the first informative webinar to build your ransomware knowledge, then test your response capabilities with our new Decision Simulation format.
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
Beginning in mid-June, FINRA is conducting an information request focused on member firms’ and affiliates’ current and anticipated crypto asset activities. This webinar will provide an overview of the information request, explain why FINRA is making the request, discuss the submission process for the five-question inquiry, and clarify the scope of activities FINRA is inquiring about—including crypto assets that are securities and those that are not.
Rule Filing Status: Filed for Immediate Effectiveness
Proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.
Rosie Weeks is Senior Vice President, Administration. In this role, Ms. Weeks is responsible for Corporate Real Estate and Security, Corporate Risk & Resilience, Information Operations—which encompasses entitlement, fingerprint and records management—and Meetings, Conference & Corporate Travel. She also serves as Treasurer for the FINRA Investor Education Foundation.
Mr. Rambert is Vice President, Treasury & Investments. In this role, he leads FINRA's Investment Office, overseeing the organization's various retirement plan assets, the FINRA Investor Education Foundation portfolio and corporate assets. Mr. Rambert provides comprehensive strategic direction and oversight across investment strategy, investment operations, risk management and treasury functions, ensuring disciplined capital stewardship and alignment with FINRA's long-term financial objectives.
Lloyd Fenton is Vice President, Financial Planning & Analytics. In this role, he provides strategic financial guidance and support to FINRA’s senior leaders. Serving as a trusted advisor to key business unit stakeholders, Mr. Fenton helps business leaders optimize financial performance, identify risks and opportunities, and make financially sound decisions that align with FINRA's overall financial strategy.