Summary of Additional Observations
In addition to the topics we address above, FINRA also draws firms’ attention to the following areas where operational deficiencies have challenged some firms’ ability to meet their compliance obligations.
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.