Regulatory Notice 21-09
Executive Summary
FINRA has adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them.1 The new rules:
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.
