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 Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to adopt new FINRA Rule 2166 (Temporary Delays for Suspected Fraud) to modernize protections for senior and vulnerable investors and to make additional fraud prevention tools available for all customers.
Features |
This course focuses on requirements relating to prepublication reviews of research and how such requirements support objective and reliable research.
This course reviews filing requirements under FINRA Rule 5123 for private placement documents, the exemptions from the filing requirements and the considerations that investment banking and compliance teams can make to ensure effective filings by their firms.
This course covers how political contributions or other payments may affect the work of Municipal Securities Professionals in the securities industry.
This course addresses the financial and operational requirements of broker-dealers (BDs) providing market access to customers under SEC Rule 15c3-5. It also examines practices the BDs may use to comply with these requirements and continually review and test these systems.
This course focuses on how firms’ risk management controls and supervisory procedures—specifically regarding client limits—protect traders, clients, firms and the market.
This course examines the application of FINRA communications rules to emerging technologies, including the use of generative AI, engagement with financial influencers and adoption or entanglement with third-party social media content. It also addresses regulatory responsibilities to keep in mind when leveraging these evolving communication channels to ensure compliance with FINRA's communications with the public rules.
