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Mutual funds and exchange-traded funds (ETFs) are two of the most common ways for Americans to invest. These investment products have some important similarities, but they also have key differences.
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.
1. What is E-Bill and what can I do in E-Bill?
E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments, and view and pay FINRA invoices.
What's New In E-Bill?April 2024E-Bill is now integrated into FINRA Gateway. FINRA's financial system enables entitled users to view financial details, submit payment to firm accounts and invoices, and create transaction reports. Users can access the new E-Bill experience by logging in to FINRA Gateway or navigating through other systems (for example, FPRD).For more information, please
Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.Support for FinPro, TESS and CE is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET. Notice will be provided on
FinPro is part of FINRA’s efforts to streamline communication between industry stakeholders and reduce the registration compliance burden for firms. As we develop this system, FINRA is also creating materials to help firms incorporate FinPro features into their registration compliance programs. Learn more on the page below about the onboarding, training and support resources that are available to
Individuals who are joining or currently registered with a broker-dealer can do the following in FinPro:View your CRD recordNotify your firm when you have reviewed your CRD record, and confirm whether or not updates are needed (firm must enable Attestation feature in FINRA Gateway)Enter information and electronically sign Form U4 (firm must enable Allow Rep Edits and/or E-Signature features in
Digital assets like cryptocurrencies and tokens from initial coin offerings (ICOs) continue to evolve and spark investor interest. Crypto and ICOs may present investment opportunities, but the risk of losing some or all of your investment is real.
Individuals who are not currently registered with a broker-dealer can do the following in FinPro:View your CRD recordReview and download the last Form U5 filed on your recordUpdate your residential addressMore features are under development. We will announce new features on this page as they are released.