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.
The FINRA Industry Snapshot provides a high-level overview of the industry, including revenues of firms and how firms market their products and services. All of the data are reported in aggregate to respect the confidentiality of regulatory information.
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
The Financial Industry Networking Directory (FIND)™ is a new FINRA service that looks to connect individuals with financial services firms that are recruiting for full-time employment and internship positions. Learn more below about how you can join and benefit from FIND.
Reports cards published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers.
I am a FINRA arbitrator. I am also deaf but function entirely in the hearing world with lip reading and hearing aids. FINRA has been absolutely absolutely phenomenal with respect to accommodating my disability. The only thing I would add is that any diversity efforts need to include persons with disabilities (prior FINRA diversity surveys have not had that category). Also, it would be great if FINRA would support adding people with disabilities to any SEC rules mandating diversity in the boardroom.