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FINRA Utility Menu

  • About FINRA
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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.

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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. Rules & Guidance
  2. Guidance
  4. 2022 Report on FINRA’s Examination and Risk Monitoring Program
EXPLORE THIS SECTION

2022 Report on FINRA’s Examination and Risk Monitoring Program

  • Introduction
    • Selected Highlights
    • How to Use the Report
  • Firm Operations
    • Anti-Money Laundering
    • Cybersecurity and Technology Governance
    • Outside Business Activities and Private Securities Transactions
    • Books and Records
    • Regulatory Events Reporting
    • Firm Short Positions and Fails-to-Receive in Municipal Securities
    • Trusted Contact Persons
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  • Communications and Sales
    • Reg BI and Form CRS
    • Communications with the Public
    • Private Placements
    • Variable Annuities
  • Market Integrity
    • Consolidated Audit Trail (CAT)
    • Best Execution
    • Disclosure of Routing Information
    • Market Access Rule
  • Financial Management
    • Net Capital
    • Liquidity Risk Management
    • Credit Risk Management
    • Segregation of Assets and Customer Protection
    • Portfolio Margin and Intraday Trading
  • Appendix—Using FINRA Reports in Your Firm’s Compliance Program

Firm Operations
  • Anti-Money Laundering
  • Cybersecurity and Technology Governance
  • Outside Business Activities and Private Securities Transactions
  • Books and Records
  • Regulatory Events Reporting
  • Firm Short Positions and Fails-to-Receive in Municipal Securities NEW FOR 2022
  • Trusted Contact Persons NEW FOR 2022
  • Funding Portals and Crowdfunding Offerings NEW FOR 2022
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Anti-Money Laundering

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