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FINRA Utility Menu

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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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DR PORTAL

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  1. Rules & Guidance
  2. Notices
EXPLORE THIS SECTION

FINRA Main Navigation

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    • Frequently Asked Questions
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Notices
  • Notice to Members 03-64
    New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
    Wednesday, October 15, 2003
  • Notice to Members 04-44
    Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
    Wednesday, June 02, 2004
  • Notice to Members 04-43
    Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
    Wednesday, June 02, 2004
  • Notice to Members 04-49
    SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
    Friday, June 18, 2004

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ARBITRATION & MEDIATION

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