Advertising Regulation
FINRA's Advertising Regulation Department ensures broker-dealers' communications are fair, balanced and compliant with FINRA, SEC, MSRB and SIPC rules through filing reviews, guidance and outreach programs.
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.