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Printer-Friendly Information for Brokers

• Continuing Education Information & Requirements
  Find information about regulatory element and firm element training.
  
  
• Exam Requirements & Study Guides
  Review information about the examinations administered by FINRA to registered representatives.
  
  
• Test Center Locations

• E-Learning Courses
  These 30-minute modules feature decision-based learning scenarios.
  
  
• Webcasts
  These brief online tutorials are available on-demand and take less than 10 minutes to complete.
  

For updates on new educational offerings, sign up for our email subscriptions.

Registration-Related Information

• BrokerCheck Broker Comment Request Form
  Brokers can use this form to provide an update or context to information that is disclosed through BrokerCheck.
  
  
• Broker Guidance & Responsibility
  This resource addresses how registered representatives are to conduct business and explains the need for professionalism and fair dealing with investors.
  
  
• CRD Information
  Find new or updated information regarding the Web CRD system and related programs and processes.
  
  
• Registered Persons on Active Military Duty
  Learn about relief for FINRA registered persons engaged in the investment banking and securities business who volunteer or are called into active military duty.

• Guide to the Internet for Registered Reps
  Information for registered representatives regarding the compliance requirements and potential liabilities when using the Internet and electronic communications.
  
  
• Issue Center
  Find information on the most current compliance topics.
  
  
• Mutual Fund Breakpoint Search Tool
  Look up breakpoint schedules and linkage rules for mutual funds with sales charges.
  
  
• Quarterly Disciplinary Review
  This quarterly review provides firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.