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FINRA Utility Menu

  • About Us
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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
  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
    • Funding Portals and Crowdfunding Offerings
  • 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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