Learn which firms and individuals faced disciplinary action in the month of February 2024. Stay updated on regulatory enforcement and compliance with FINRA.
Review FINRA monthly disciplinary actions for June 2024. See which firms and individuals faced enforcement actions and stay informed on cases and compliance.
Learn about FINRA monthly disciplinary actions taken against firms and individuals in May 2024. Stay updated on enforcement and compliance.
FINRA provides essential information on bank products like savings accounts, CDs and money market accounts. Learn more and make informed financial decisions.
Access the official FINRA Regulation, Inc. By-Laws in printable format. Stay informed on FINRA’s governance structure and regulatory framework.
Access FINRA's By-Laws of the corporation in printable format. Essential information on membership rules, qualifications and the governance of the organization.
CRD is typically available:Monday through Friday from 5 a.m. to 11 p.m. ETSaturday from 8 a.m. to 6 p.m. ETSunday from 10 a.m. to 6 p.m. ETScheduled exceptions to the system availability are provided below.Looking for information about unscheduled system outages and disruptions? Please visit the Systems Status page. October 2024DateStatusCommentNo outages scheduled November
FINRA disciplinary actions for the month of March 2024. Learn which firms and individuals faced enforcement actions and improve your compliance.
FINRA disciplinary actions for the month of May 2023. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
FINRA staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program data submission and documentation requirements. This session will review the upcoming deadlines and the data and information requirements and submission process.FINRA Webinar: Remote Inspections Pilot Program Data Submission and Documentation Requirements – On-Demand RecordingFINRA Member Firms CRCP
