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Effective URL: https://www.finra.org/
Submission: On March 14 via api from US — Scanned from DE
Effective URL: https://www.finra.org/
Submission: On March 14 via api from US — Scanned from DE
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Skip to main content Close Search FINRA UTILITY MENU * About FINRA * Careers * BrokerCheck * Data * Media Center * For Firms * Contact Us Log In FINRA Data 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. LOG IN FinPro For Industry Professionals Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. LOG IN FINRA Gateway For Member Firms Firm compliance professionals can access filings and requests, run reports and submit support tickets. LOG IN DR Portal For Case Participants Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal. LOG IN Need Help? | Check Systems Status Log In to other FINRA systems * Rules & Guidance * 1. R&G section 1 1. FINRA Manual 1. Updates 2. Interpreting the Rules 1. Notices 2. 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Dispute Resolution 4. Avenues for Recovery of Losses A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKS FOR EVERYONE. FINRA PROVIDES CONFIDENCE TO PARTICIPATE BY SAFEGUARDING MARKET INTEGRITY. Fulltext search CREATING OPPORTUNITY TOGETHER FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member firms and policymakers. Because of these deep relationships and together with our stakeholders, we work towards finding common solutions to create a regulatory environment that promotes collaboration, innovation, and fairness. We do this so that investors are safe, while having the opportunity to participate in America’s capital markets. Featured 2024 FINRA ANNUAL REGULATORY OVERSIGHT REPORT 2023 INDUSTRY SNAPSHOT FINRA PROVIDES UPDATE ON SWEEP: SOCIAL MEDIA INFLUENCERS, CUSTOMER ACQUISITION … MACHINE READABLE RULEBOOK TRY THE FINRA RULEBOOK SEARCH TOOL™ (FIRST™) BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms. Check Out Your INVESTMENT PROFESSIONAL By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use. Individual Individual Firm Get important facts about an investment professional's background. Privacy | Legal By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use. WORKING TO ADVANCE RACIAL JUSTICE FINRA categorically rejects racism and discrimination of any kind. 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Learn More WHAT'S NEW Regulatory Notice GASB ACCOUNTING SUPPORT FEE March 12, 2024 Technical Notice UPDATED AGREEMENTS: NON-REAL-TIME TRACE DATA (TREASURY END-OF-DAY AVAILABILITY) & ENHANCED HISTORICAL DATA March 11, 2024 The Alert Investor BE ALERT TO SIGNS OF IMPOSTER INVESTMENT SCAMS March 11, 2024 Regulatory Notice DISSEMINATION OF TRANSACTIONS IN U.S. TREASURY SECURITIES March 8, 2024 Technical Notice REMINDER - TRACE FOR TREASURIES RE-PLATFORM March 7, 2024 View More of What's New 8 3 4 ,8 0 1 2 3 4 5 6 7 8 9 0 8 0 3 7 0 4 7 1 4 8 1 4 8 1 5 8 2 5 9 2 6 9 2 6 9 3 6 0 3 7 0 8 0 3 6 9 2 5 8 1 4 7 0 3 6 9 2 5 8 1 4 7 0 3 6 9 2 5 8 1 4 7 0 3 6 9 2 5 8 1 4 7 0 3 6 9 0 ,8 0 2 5 7 0 2 4 7 9 2 4 7 9 1 4 6 9 1 3 6 8 1 3 6 8 0 3 5 8 0 2 5 7 0 2 4 7 9 2 4 7 9 1 4 6 9 1 3 6 8 1 3 6 8 0 3 5 8 0 8 0 9 9 8 7 7 6 5 4 4 3 2 2 1 0 0 9 8 8 7 6 6 5 4 3 3 2 1 1 0 9 9 8 7 7 6 5 4 4 3 2 2 1 0 0 9 8 8 7 6 6 5 4 3 3 2 1 1 0 9 9 8 7 7 6 5 4 4 3 2 2 1 0 0 8 0 4 9 3 7 1 6 0 4 8 3 7 1 5 0 4 8 2 7 1 5 9 4 8 2 6 1 5 9 3 8 2 6 0 5 9 3 7 2 6 0 4 9 3 7 1 6 0 4 8 3 7 1 5 0 4 8 2 7 1 5 9 4 8 2 6 1 5 9 3 8 2 6 0 5 9 3 7 2 6 0 4 9 3 7 1 6 0 market events processed since this page was loaded.* *Based on FINRA processing an average of 67 billion electronic records per day. 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