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FINRA UTILITY MENU

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FINRA DATA

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 * Rules & Guidance
   * 1. R&G Section 1
         1. FINRA Manual
            1. Updates
         2. Interpreting the Rules
            1. Notices
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            3. Frequently Asked Questions
            4. Key Topics
            5. Interpretive Questions
     
     2. R&G Section 2
         1. The Rulemaking Process
            1. Rule Filings
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            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
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            5. Emergency Funds
     
     2. For Investors Section 2
         1. Investing
            1. Investing Basics
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            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




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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


2024 COMPLIANCE OUTREACH PROGRAM

The 2024 Compliance Outreach Program for Municipal Advisors and Municipal
Dealers is a free live-streamed and in-person program designed to provide
municipal market participants an opportunity to hear from SEC, MSRB and FINRA
staff on timely regulatory and compliance matters for municipal advisors and
dealers.
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
Investor Insights
SIM Swapping Risks to Investors
Read More
Report / Study
The Metaverse and the Implications for the Securities Industry
Read More
Guidance
Form BR Functionality Enhancements for Form BR Amendments and Updated RSL FAQs
Read More

ARBITRATION & MEDIATION

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

Learn More



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FINRA MAIN NAVIGATION

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General Inquiries

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Securities Helpline for Seniors®

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

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File an Investor Complaint

File a complaint about fraud or unfair practices.

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Report a concern about FINRA at 888-700-0028






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