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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Re: Comment on FINRA Regulatory Notice 26-06 – Modernizing FINRA Arbitration Rules, Guidance and Process
Dear Ms. Mitchell:
I'm an attorney who regularly represents investment fraud victims in FINRA arbitration. I urge FINRA to stay true to its investor protection mission and reject the bulk of the recommendations in RN 26-06. Many of these proposals would benefit broker-dealers at the direct expense of investors — and that's not what FINRA is here to do.
Forum Selection / Customer Disputes (A(i))
