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.
Natalie Meyer is Senior Vice President, Chief Compliance Officer and Counsel in FINRA's Ethics and Compliance Office. In this role, Ms. Meyer oversees FINRA's Ethics, Compliance and Data Privacy Programs, as well as FINRA’s Oversight Liaison’s office. Additionally, Ms. Meyer is responsible for overseeing FINRA's Commercial Transactions Group in the Office of General Counsel. In these roles, she works closely with business and technology leaders across the company on regulatory, compliance and commercial matters.
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by Vice President of Testing and Continuing Education (CE) David Scrams to discuss the CE Transformation including information on the Maintaining Qualifications Program and the transition to an annual Regulatory Element requirement, along with important year-end reminders.
