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.
Rule Filing Status: Approved
Rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”) to make substantive, organizational and terminology changes to the Rule. The proposed rule change is intended to modernize Rule 5110 and to simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in offerings.
Rule Filing Status: Approved
Rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”) to make substantive, organizational and terminology changes to the Rule. The proposed rule change is intended to modernize Rule 5110 and to simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in offerings.
Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.
Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.