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FINRA Utility Menu

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FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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  1. Registration, Exams and CE
  2. Qualification Exams
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Qualification Exam FAQ

The following FAQ on FINRA.org pertain to Qualification Exams:

  1. Frequently Asked Questions Regarding Qualification Exams
  2. Frequently Asked Questions Regarding Qualification and Registration Requirements
  3. Frequently Asked Questions Regarding the SIE and Exam Restructuring
  4. Frequently Asked Questions Regarding Back-to-back Scheduling
  5. Frequently Asked Questions Regarding Limited English Proficiency
  6. Exam Credit and Exam Validity
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Related Links

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Permitted Activities and Other Facts about Qualification Exams
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