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FINRA UTILITY MENU

 * About FINRA
 * Careers
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FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save
data views and create and manage a Bond Watchlist.

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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view
their industry CRD record and perform other compliance tasks.

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FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and
submit support tickets.

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For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case
information and submit documents through this Dispute Resolution Portal.

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 * 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
     
     3. R&G Section 3
         1. Adjudications & Decisions
            1. National Adjudicatory Council (NAC)
            2. Office of Hearing Officers (OHO)
     
     4. R&G Section 4
         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. Events & Training Section 1
         1. Conferences & Events
         2. FINRA Institute at Georgetown
         3. Financial Learning Experience (FLEX)
         4. Small Firm Conference Call
         5. Webinars
 * Filing & Reporting
   * 1. Filing & Reporting Section 1
         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. Compliance Tools Section 1
         1. Cybersecurity Checklist
         2. Compliance Calendar
         3. Weekly Update Email Archive
         4. Peer-2-Peer Compliance Library
 * 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

--------------------------------------------------------------------------------


FINRA UTILITY MENU

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

 

For the Public

FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save
data views and create and manage a Bond Watchlist.

Login

For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view
their industry CRD record and perform other compliance tasks.

Login

For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and
submit support tickets.

Login

For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case
information and submit documents through this Dispute Resolution Portal.

Login

Need Help? | Check System Status

Log In to other FINRA systems



 1. Filing & Reporting
 2. Trade Reporting and Compliance Engine (TRACE)

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FINRA MAIN NAVIGATION

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   Market Transparency Reporting Tools
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   * Trade Reporting and Compliance Engine (TRACE)
   * Trade Reporting Facility (TRF)
   * Uniform Practice Code (UPC)
   * Improvement Initiatives
 * Regulatory Filing Systems
 * Data Transfer Tools
 * E-Bill

Technical Notice


TRAQS ACCESS

April 19, 2021



As a reminder, effective today, FINRA has replaced digital certificates with
Multi Factor Authentication (MFA) for access to the TRAQS website. All TRAQS
users are now required to use MFA credentials to gain access to TRAQS and will
be denied access to TRAQS if they have not converted.

The URL to access TRAQS is https://www.finratraqs.org

FINRA has produced a dedicated TRAQS Multi Factor Authentication (MFA) User
Guide, and recommends that users review this guide to familiarize themselves
with the new processes for TRAQS secure system access using MFA.

If you have not yet established your MFA credentials, have your firm’s system
administrator contact FINRA Market Operations to complete the OKTA enrollment.

process for your account for continued access to TRAQS.

Please contact FINRA Product Management or call (866) 899-2107 with questions
regarding this notice.






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FINRA MAIN NAVIGATION

 * Rules & Guidance
 * Registration, Exams & CE
 * Events & Training
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 * For Investors


FINRA UTILITY MENU

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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


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FOOTER LEGAL LINKS

 * Site Map
 * Privacy Policy
 * Terms of Use
 * Contact
 * Translate

© 2024 FINRA. All Rights Reserved.

FINRA is a Registered Trademark of the Financial Industry Regulatory Authority,
INC.