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.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization. |
| Issuing Organization | National Association of Certified Credit Counselors |
| Qualification and Training Requirements | |
| Prerequisites | Must be an active member of NACCC by holding either the Certified Credit Counselor or Certified Financial Health Counselor designation. |
| Designation Training Requirements | Six-module online course |
| Designation Exam Type | Online, proctored final exam |
| Continuing Education Requirements | 16 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization. |
| Issuing Organization | National Financial Educators Council (NFEC) |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must hold the Certified Financial Literacy Professional and the Certified Financial Education Instructor credentials in good standing. |
| Designation Training Requirements | Online, self-paced training course |
| Designation Exam Type | Online, closed book exam |
| Continuing Education Requirements | Recertification required every three years |
| Verification and Complaints | |
| Online Designation Resource | Online at NFEC Certification Accreditation |
| Investor Complaint Process | Online at Report Misconduct |
| Published List of Disciplined Designees | None |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization. |
| Issuing Organization | National Association of Certified Credit Counselors |
| Qualification and Training Requirements | |
| Prerequisites | Completion of Certified Credit Counselor or Certified Financial Health Counselor program |
| Designation Training Requirements | 11-module online course |
| Designation Exam Type | Online, proctored final exam |
| Continuing Education Requirements | 16 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
Timothy Thompson is Senior Vice President, Enterprise & Financial Solutions. More specifically, Mr. Thompson serves as the Head of FINRA’s Enterprise Risk Management (ERM) Team. ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key business objectives. The program also assesses how each of these enterprise risks are being managed and supports FINRA's strategic planning, budgeting and resource allocation processes.