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.
Becoming a registered person has not been an easy or inexpensive process. In 2018, FINRA’s creation of the Securities Industry Essentials (SIE) exam was a significant step in simplifying the process for an individual to demonstrate basic industry knowledge. The SIE is open anyone over age 18 and, most importantly, association with a member firm is not required. Passing the SIE, however, does not qualify an individual for registration with a FINRA member firm or to engage in the securities business.