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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. Notices
EXPLORE THIS SECTION

FINRA Main Navigation

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Notices
  • Regulatory Notice 21-44
    Business Continuity Planning and Lessons From the COVID-19 Pandemic
    Thursday, December 23, 2021
  • Regulatory Notice 20-42
    FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
    Wednesday, December 16, 2020
  • Regulatory Notice 20-16
    FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
    Thursday, May 28, 2020
  • Regulatory Notice 20-13
    FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
    Tuesday, May 05, 2020
  • Information Notice – 3/26/20
    Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)
    Thursday, March 26, 2020
  • Regulatory Notice 20-08
    Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
    Monday, March 09, 2020
  • Regulatory Notice 09-59
    FINRA Provides Guidance on Pandemic Preparedness
    Monday, October 12, 2009

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