Effective December 19, 2007, locations that solely conduct final approval of research reports are exempt from the definition of Office of Supervisory Jurisdiction.
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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.
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
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
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.
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
Understanding Your FINRA Flex-Funding Account
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
