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FINRA Utility Menu

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FINRA DATA

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

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FINRA GATEWAY

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

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  1. Rules & Guidance
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Guidance
  • Guidance
    Communications with the Public
    January 09, 2024
  • Guidance
    FINRA Provides Update on Sweep: Special Purpose Acquisition Companies (SPACs)
    October 02, 2023
  • Guidance
    FINRA Provides Update on Sweep: Social Media Influencers, Customer Acquisition and Related Information Protection
    February 28, 2023
  • 2021 Report on FINRAs Examination and Risk Monitoring Program
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    February 01, 2021
  • 2019 Exam Findings Report
    Digital Communication
    October 16, 2019
  • Notice
    Regulatory Notice 11-39
    August 18, 2011
  • Notice
    Regulatory Notice 10-06
    January 25, 2010
  • Notice
    Regulatory Notice 07-59
    December 07, 2007

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