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 has corrected the intermittent TRAQS stop sign error condition some clients were receiving on Monday when attempting to access the website.
Please contact FINRA Operations or call 866.776.0800 if you continue to experience issues or if there are questions regarding this notice.
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice provides a summary of the results of the survey.
Questions concerning this Notice should be directed to:
Join FINRA and Prometric technologists for a discussion about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, presenters will share resources and take questions from attendees.
Note: These webinars are intended for Information Technology staff with firms that plan to pursue remote testing on company-issued equipment.
Learn more about the newly-announced online testing service available for select FINRA-administered exams.