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.
I strongly encourage FINRA to allow exams to last for 5-10 years rather than 2. For industry professionals who are also parents, many of them face losing their registrations if they choose to leave the workforce for a few years until their young children are schoolage. This predominantly affects women, as statistically it's most likely that the mother will stay home with the kids. Many other professions allow for licensing to be held as long as continuing education is current.
Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent delivery and transparency.
