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.
FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.
FINRA Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).
In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the COVID-19 Community Level is High.
Beginning September 11, 2020, FINRA will modify the API platform that some clients use to gain access to OTC Transparency data. This change involves how the API platform responds to an API request that results in no data found.
Currently, the API platform responds with a HTTP status code of “200” and returns a JSON formatted response that includes a status code field and a message field set to "No data found for specified dataset request”, among other data.