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 FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) to expand the current exception from the rule’s principal approval requirements to apply to all allocations of bulk investment adviser orders, irrespective of when allocation instructions are received.
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-09-2026 | https://public.s3.com/rule605/vgrd/ [public.s3.com] |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | National Association of Insurance and Financial Advisors (NAIFA) |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must be NAIFA members and be actively engaged in a profession related to financial services, insurance, mortgage lending, retirement planning, wealth management, or a related advisory field. |
| Designation Training Requirements | Training program offered via online, in-person or hybrid instruction |
| Designation Exam Type | Closed book, proctored final exam offered online or in-person |
| Continuing Education Requirements | 1 hour annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Find a Financial Professional |
| Investor Complaint Process | Submit complaints in writing to: |
| Published List of Disciplined Designees | None |