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.
This abridged version of the Registration and Disclosure Boot Camp course will focus on a review of recent individual disclosure process changes and discuss future disclosure reporting training offerings.
As FINRA’s Ombuds, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, individual brokers, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA’s processes.