For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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Amended by SR-FINRA-2016-043 eff. Dec. 15, 2016. Amended by SR-FINRA-2009-035 eff. July 14, 2009. Amended by SR-FINRA-2009-034 eff. June 23, 2009. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended by SR-NASD-2007-033 eff. June 23, 2007. Amended by SR-NASD-2005-061 eff. May 11, 2005. Amended by SR-NASD-2003-110 eff. June 28, 2004. Adopted by SR-NASD-98-80 eff. June 23, 2003. Selected Notices: 03-35, 04-36, 08-57. |