For the Public
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.
Starting Nov. 3, firms can initiate Forms BDW and ADV-W filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.
Cyber fraud schemes targeting elder investors are growing more frequent and sophisticated. Join this interactive workshop to gain essential tools to recognize, prevent and counter these increasingly sophisticated cyber fraud schemes. Through practical case studies and collaborative discussions with industry peers, you'll develop actionable strategies to protect vulnerable investors from today's most prevalent threats.
This session includes a workshop and a tabletop exercise (TTX) that walks through the cyber response process following a breach of customer data. Workshop topics include breach containment, privacy impact assessments, notification obligations, and coordination with legal counsel, regulators and affected clients in the context of Regulation S-P and related standards.
Financial exploitation of vulnerable adults is an ongoing threat. Join us for an interactive workshop that focuses on how to identify, aid and manage this threat targeting investors. This hands-on session facilitates active discussions of current elder fraud trends through a series of practical case studies. Learn from FINRA staff and work with industry practitioners to help increase investor protection.
This session includes a workshop and a tabletop exercise (TTX) which equip small firms with practical tools and real-world scenarios to manage cyber and technology risks posed by third-party vendors. The workshop introduces a streamlined checklist that helps firms assess vendor security, contractual safeguards, data handling and service continuity.
FINRA’s Cyber Crimes Conference (C3) is a one-day event on Tuesday, October 28, 2025, that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks. Whether you work in information security, information technology, cybercrime, compliance or are a business owner, you will learn from leading experts in the industry and participate in engaging sessions to leave you with actionable strategies and valuable information to help you protect your organization.