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FINRA Utility Menu

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For the Public

FINRA DATA

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

Login

For Industry Professionals

FINPRO

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

Login

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. Rules & Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

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March 2019 Disciplinary Actions

FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).

Disciplinary_Actions_March_2019_0.pdf

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States

Learn More
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