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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.

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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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For Member Firms

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




A vibrant market is at its best when it works for everyone.

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FEATURED

Investor Education


PROMOTING INFORMED DECISION MAKING

FINRA has launched an online advertising campaign, “Get Your Head In the Trade,”
encouraging new investors to understand investment risks and rewards as well as
their own financial goals and risk tolerance.
Read More
Events & Training


2024 FINRA ADVERTISING REGULATION CONFERENCE

FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed
for new and experienced communications compliance and marketing professionals.
Industry and regulatory speakers facilitate interactive discussions of
communications topics including new rules, effective practices, regulatory
priorities and emerging technologies.
Read More
Report / Study


2024 INDUSTRY SNAPSHOT

FINRA regulates a critical part of the securities industry – member brokerage
firms doing business in the United States. In an effort to increase public
awareness and understanding about the broad range of FINRA-registered firms and
individuals, FINRA shares an annual snapshot of some of the data collected in
the course of its work.
Read More
See What's New


HOW FINRA SERVES INVESTORS AND MEMBERS

As a not-for-profit, self-regulatory organization with an 85-year history, FINRA
pursues its mission of promoting investor protection and ensuring market
integrity in many ways.

Read Now


EXPOSING INSIDER RISK

FINRA’s Insider Trading Detection Program is designed to provide U.S. law
enforcement and regulators worldwide with actionable intelligence about
potential insider trading that occurs on the U.S. markets. The intelligence we
provide—over 450 referrals in 2023 alone—routinely result in criminal and civil
action.





Read Now


FINRA’S CRYPTO HUB

The Crypto Hub is a FINRA-wide effort to ensure we are prepared to fulfill our
regulatory mission regarding the crypto asset-related activities of member firms
and associated persons. The Hub serves as a nerve center to manage FINRA’s
regulatory work related to crypto assets.





Learn More



ANNOUNCEMENTS

FINRA Turns 85
This year, FINRA turns 85. This milestone is more than a number. It’s a
testament to FINRA’s enduring commitment to protecting investors and
safeguarding market integrity.
Read More
Follow FINRA on Instagram
Follow FINRA's new Instagram page at @_FINRA to find investor-focused content
designed to help the everyday investor up their investing know-how.
Read More
News Release
FINRA’s Remote Inspections Pilot Program Begins; 741 Member Firms Opt-In to
Participate
Read More
Blog Post
FINRA’s Remote Inspections Pilot Program Begins
Read More
Investor Insights
Extended-Hours Trading: Know the Risks
Read More

ARBITRATION & MEDIATION

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

Learn More



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

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


FOOTER LEGAL LINKS

 * Site Map
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 * Contact
 * Translate

© 2024 FINRA. All Rights Reserved.

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

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
 * Contact
 * Translate

© 2024 FINRA. All Rights Reserved.

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