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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | The Financial Education Partnership |
| Qualification and Training Requirements | |
| Prerequisites |
|
| Designation Training Requirements | CTA course (18 hours) |
| Designation Exam Type | In-person, proctored, closed-book, written exam |
| Continuing Education Requirements | 12 hours every 2 years, online or in-person |
| Verification and Complaints | |
| Online Designation Resource | 12 hours every 2 years, online or in-person |
| Investor Complaint Process | Submit complaints by phone at 301-718-0030 |
| Published List of Disciplined Designees | Available at List of Disciplined Designees |