www.finra.org Open in urlscan Pro
2606:4700:4400::ac40:968f  Public Scan

Submitted URL: https://links.members.thrivent.com/ctt?ms=MjM2NzMzNTUS1&kn=31&r=NDM3MjM2NzI2MTU4S0&b=2&j=MjgwMDY3NzM2NAS2&mt=1&rt=0
Effective URL: https://www.finra.org/
Submission: On March 14 via api from US — Scanned from DE

Form analysis 2 forms found in the DOM

POST /

<form action="/" method="post" id="search-header-form" accept-charset="UTF-8">
  <fieldset class="js-form-item js-form-type-textfield form-type-textfield js-form-item-field-full-search-form form-item-field-full-search-form form-group">
    <input placeholder="Search FINRA" name="field_full_search_form" data-drupal-selector="edit-field-full-search-form" type="text" id="edit-field-full-search-form" value="" size="70" maxlength="60" class="form-control">
  </fieldset>
  <input placeholder="Search FINRA" data-drupal-selector="edit-submit" type="submit" id="edit-submit" name="op" value="Search" class="button js-form-submit form-submit btn btn- btn-primary form-disabled"
    data-drupal-states="{&quot;disabled&quot;:{&quot;:input[name=\u0022field_full_search_form\u0022]&quot;:{&quot;empty&quot;:true}}}">
  <input autocomplete="off" data-drupal-selector="form-hpdiqsvclw-qystw5xlkbpmywlau-naklaj7d6xoy6i" type="hidden" name="form_build_id" value="form-hpDIQSvclW-QysTW5xlKbPMyWlAu-nAKLAj7D6xoy6I" class="form-control" placeholder="Search FINRA">
  <input data-drupal-selector="edit-search-header-form" type="hidden" name="form_id" value="search_header_form" class="form-control" placeholder="Search FINRA">
</form>

GET /search

<form action="/search" method="get" id="views-exposed-form-search-finra-page-1" accept-charset="UTF-8" data-once="bef-auto-submit">
  <div class="form-row">
    <fieldset class="js-form-item js-form-type-textfield form-type-textfield js-form-item-search-api-fulltext form-item-search-api-fulltext form-group">
      <label for="edit-search-api-fulltext">Fulltext search</label>
      <input data-bef-auto-submit-exclude="" data-drupal-selector="edit-search-api-fulltext" type="text" id="edit-search-api-fulltext" name="search_api_fulltext" value="" size="30" maxlength="128" class="form-control" placeholder="Search FINRA">
    </fieldset>
    <div data-drupal-selector="edit-actions" class="form-actions js-form-wrapper form-group" id="edit-actions"><input data-bef-auto-submit-click="" data-drupal-selector="edit-submit-search-finra" type="submit" id="edit-submit-search-finra"
        value="Search" class="button js-form-submit form-submit btn btn- btn-primary" style="display: none;">
    </div>
  </div>
</form>

Text Content

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. Guidance
            3. Frequently Asked Questions
            4. Key Topics
            5. Interpretive Questions
     
     2. R&G section 2
         1. The Rulemaking Process
            1. Rule Filings
            2. Rule Filing Status Report
            3. Requests for Comments
            4. Rulebook Consolidation
         2. Adjudication & Decisions
            1. National Adjudicatory Council (NAC)
            2. Office of Hearing Officers (OHO)
     
     3. R&G section 3
         1. Enforcement
            1. Disciplinary Actions Online
            2. Monthly Disciplinary Actions
            3. Sanction Guidelines
            4. Individuals Barred by FINRA
 * Registration, Exams & CE
   * 1. Registration section 1
         1. Registration
            1. Broker Dealers
            2. Capital Acquisition Brokers
            3. Funding Portals
            4. Individuals
     
     2. Registration section 2
         1. Qualification Exams
            1. Securities Industry Essentials Exam (SIE)
            2. Series 7
            3. All
         2. Continuing Education (CE)
     
     3. Registration section 3
         1. Registration Systems
            1. Classic CRD
            2. Financial Professional Gateway (FinPro)
            3. Financial Industry Networking Directory (FIND)
 * Events & Training
   * 1. Conferences & Events
     2. FINRA Institute at Georgetown
     3. E-Learning Courses
     4. Small Firm Conference Call
     5. Webinars
 * Filing & Reporting
   * 1. FINRA Gateway
     2. Systems Status
     3. Entitlement Program
     4. Market Transparency Reporting Tools
     5. Regulatory Filing Systems
     6. Data Transfer Tools
     7. E-Bill
 * Compliance Tools
   * 1. Cybersecurity Checklist
     2. Compliance Calendar
     3. Weekly Update Email Archive
     4. Peer-2-Peer Compliance Library
     5. Compliance Vendor Directory
 * For Investors
   * 1. For Investors section 1
         1. Investor Insights
         2. Tools & Calculators
         3. Personal Finance
            1. Net Worth
            2. Spending
            3. Debt
            4. Credit Scores
            5. Emergency Funds
     
     2. For Investors section 2
         1. Investing
            1. Investing Basics
            2. Investment Products
            3. Investment Accounts
            4. Working With an Investment Professional
         2. Protect Your Money
            1. Investor Alerts
            2. Ask and Check
            3. Avoid Fraud
            4. Protect Your Identity
     
     3. For Investors section 3
         1. For the Military
         2. Need Help?
            1. File a Complaint
            2. FINRA Securities Helpline for Seniors
            3. 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. Learn how
we’re taking action to promote diversity, equity and inclusion (DEI) within our
organization, our industry and in our communities.

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. 


FINRA MAIN NAVIGATION

 * Rules & Guidance
 * Registration, Exams & CE
 * Events & Training
 * Filing & Reporting
 * Compliance Tools
 * For Investors


FINRA UTILITY MENU

 * About FINRA
 * Careers
 * BrokerCheck
 * Data
 * Media Center
 * For Firms
 * Contact Us

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United
States
Learn More

General Inquiries

301-590-6500

Securities Helpline for Seniors®

844-574-3577 (Mon-Fri 9am-5pm ET)

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombuds

Report a concern about FINRA at 888-700-0028


FOOTER LEGAL LINKS

 * Site Map
 * Privacy Policy
 * Terms of Use


FOOTER LEGAL 2

 * Translate
 * Contact



©2024 FINRA. All Rights Reserved.

FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY,
INC.