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FINRA Utility Menu

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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 12-29
    SEC Approves New Rules Governing Communications With the Public
    Thursday, June 14, 2012
  • Notice to Members 06-45
    SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period
    Thursday, August 24, 2006
  • Notice to Members 98-11
    SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence; Effective February 15, 1998
    Thursday, January 01, 1998
  • Notice to Members 99-03
    SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence; Effective March 15, 1999
    Friday, January 01, 1999
  • Notice to Members 98-83
    SEC Approves Rule Change Relating to Standards for Individual Correspondence; Effective November 16, 1998
    Thursday, October 01, 1998

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