Skip to main content

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms

 

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.

Login

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.

Login

Need Help? | Check System Status

Log In to other FINRA systems

Home
  • Rules & Guidance
      1. R&G Section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G Section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
      3. R&G Section 3
        1. Adjudications & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      4. R&G Section 4
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
          1. Broker Dealers
          2. Capital Acquisition Brokers
          3. Funding Portals
          4. Individuals
      2. Registration Section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
          2. Series 7
        2. Continuing Education (CE)
      3. Registration Section 3
        1. Registration Systems
          1. Classic CRD
          2. Financial Professional Gateway (FinPro)
          3. Financial Industry Networking Directory (FIND)
  • Events & Training
      1. Events & Training Section 1
        1. Conferences & Events
        2. FINRA Institute at Georgetown
        3. Financial Learning Experience (FLEX)
        4. Small Firm Conference Call
        5. Webinars
  • Filing & Reporting
      1. Filing & Reporting Section 1
        1. FINRA Gateway
        2. Systems Status
        3. Entitlement Program
        4. Market Transparency Reporting Tools
        5. Regulatory Filing Systems
        6. Data Transfer Tools
        7. E-Bill
  • Compliance Tools
      1. Compliance Tools Section 1
        1. Cybersecurity Checklist
        2. Compliance Calendar
        3. Weekly Update Email Archive
        4. Peer-2-Peer Compliance Library
  • For Investors
      1. For Investors Section 1
        1. Investor Insights
        2. Tools & Calculators
        3. Personal Finance
          1. Net Worth
          2. Spending
          3. Debt
          4. Credit Scores
          5. Emergency Funds
      2. For Investors Section 2
        1. Investing
          1. Investing Basics
          2. Investment Products
          3. Investment Accounts
          4. Working With an Investment Professional
        2. Protect Your Money
          1. Investor Alerts
          2. Ask and Check
          3. Avoid Fraud
          4. Protect Your Identity
      3. For Investors Section 3
        1. For the Military
        2. Need Help?
          1. File a Complaint
          2. FINRA Securities Helpline for Seniors
          3. Dispute Resolution
          4. Avenues for Recovery of Losses

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms

 

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.

Login

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.

Login

Need Help? | Check System Status

Log In to other FINRA systems

  1. Rules & Guidance
  2. Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
    • Rulebook Consolidation
    • Retrospective Rule Review
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
    • Office of Hearing Officers (OHO)

Guidance
  • 2018 Exam Findings Report
    Segregation of Client Assets
  • About FINRA
    Retrospective Rule Review
  • FAQ
    Rule 4530 Frequently Asked Questions
  • FAQ
    FINRA Entitlement Program Frequently Asked Questions
  • Compliance Tools
    TRACE Quality of Markets Report Cards - Securitized Products
  • Guidance
    Financial Management
  • Arbitration and Mediation
    Honoraria & Expenses for Arbitrators
  • Events & Training
    Financial Crimes Spotlight Webinars
  • Guidance
    Residential Supervisory Location (RSL) Eligibility Requirements and Conditions Checklist
  • Guidance
    SEC Identity Theft Red Flags Rule
  • About FINRA
    Engagement
  • FAQ
    FAQ Concerning FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
  • FAQ
    Fixed Income Confirmation Disclosure: Frequently Asked Questions (FAQ)
  • 2019 Exam Findings Report
    Market Integrity
  • Compliance Tools
    Potential Manipulation Report​
  • Guidance
    Margin Statistics
  • Compliance Tools
    Corporate Financing Public Offering Rule 5110 Filing
  • Guidance
    Credit Risk Management
  • Guidance
    Covered Agency Transactions Multifamily Programs
  • About FINRA
    Changes to FINRA Advisory Committees
  • FAQ
    Business Continuity Planning FAQ
  • FAQ
    CRCP Reporting Frequently Asked Questions (FAQ)
  • 2019 Exam Findings Report
    Short Sales
  • Guidance
    Administrative Use if Real-time TRACE Information and Data
  • Compliance Tools
    4530 Disclosure Timeliness Report Card

Pagination

  • << First First page
  • < Previous Previous page
  • …
  • 41
  • 42
  • 43
  • 44
  • 45
  • 46
  • 47
  • 48
  • 49
  • …
  • Next > Next page
  • Last >> Last page

ARBITRATION & MEDIATION

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

Learn More
Home

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms

FINRA Main Navigation

  • Rules & Guidance
  • Registration, Exams & CE
  • Events & Training
  • Filing & Reporting
  • Compliance Tools
  • For Investors

General Inquiries

301-590-6500

Securities Helpline for Seniors®

844-574-3577 (Mon-Fri 9am-5pm ET)

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombuds

Report a concern about FINRA at 888-700-0028

Footer Legal Links

  • Site Map
  • Privacy Policy
  • Terms of Use
  • Translate
  • Contact Us

© 2024 FINRA. All Rights Reserved.

FINRA is a Registered Trademark of the Financial Industry Regulatory Authority, INC.