New Blog Details Unified Regulatory Operations
September 23, 2026
Features |
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.
Features |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Dalton Education, a CeriFi company |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must be active financial services practitioners in advice, planning, investment management, insurance, accounting or related discipline and have at least one year of financial services experience in the past seven years. |
| Designation Training Requirements | Online, self-study materials |
| Designation Exam Type | Online, open-book exam for each training module |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | Submit complaints via online support form |
| Published List of Disciplined Designees | None |