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.
FINRA has adopted new rules to address firms with a significant history of misconduct.1 New Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as “Restricted Firms” to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Tamarind Learning, Inc |
| Qualification and Training Requirements | |
| Prerequisites | No prerequisites |
| Designation Training Requirements | Completion of online, self-paced course work |
| Designation Exam Type | Online exam with 100 randomized questions |
| Continuing Education Requirements | Six hours of continuing education annually to maintain the designation |
| Verification and Complaints | |
| Online Designation Resource | No |
| Investor Complaint Process | No |
| Published List of Disciplined Designees | No |