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.
This rule is no longer applicable. Incorporated NYSE Rule 406 has been superseded by FINRA Rule 3250. Please consult the appropriate FINRA Rule.
No member organization shall carry an account on its books in the name of a person other than that of the customer, except that an account may be designated by a number or symbol, provided the organization has on file a written statement signed by the customer attesting the ownership of such account.
| Amendment. March 26, 1970; May 27, 1992. |