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Education and Compliance Resources

• Compliance Tools
  Online resources to help firms manage and meet regulatory responsibilities.
  
  
• Member Education & Training
  Conferences, professional development and e-learning courses.
  
  
• Small Firm Information
  Information for the small firm community—those firms with 150 or fewer registered representatives.

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

Membership Information

• How to Become a Member
  Instructions and other information on how to become a FINRA member.
  
  
• Continuing Membership Guide
  A guide for members to areas of inquiry in continuing membership applications and applications to remove or modify restrictions.
  
  
• Annual Audit
  Annual audit information and due dates.
  
  
• FINRA Entitlement Program
  Information on the entitlement process, which facilitates user access to participating systems/applications on the FINRA Entitlement security platform.
  
  
• FINRA Member Benefits
  Discounts or value-added products/services for FINRA members.

Other Resources

• Communications to Firms
  A listing of letters and emails sent to firms.
  
  
• Firm Gateway
  The Firm Gateway provides consolidated access to FINRA applications and timely information relevant to your firm.
  
  
• Registered Clearing Agencies and Depositories
  A reference list that includes contact information for registered clearing agencies and depositories.
  
  
• Regulatory Information on Conducting Securities Business in Foreign Jurisdictions
  A link to the IOSCO SRO Consultative Committee (SROCC) Web page with links to information on regulatory requirements in certain foreign jurisdictions.