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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

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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
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EXPLORE THIS SECTION

FINRA Main Navigation

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Monthly Disciplinary Actions - March 2020

FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).

Disciplinary_Actions_March_2020.pdf

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States

Learn More
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