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 is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
During this webinar, FINRA will discuss the enhanced individual disclosure letter process that will become available in FINRA Gateway on May 1, 2021.
During this webinar, FINRA will discuss the enhanced Form U5 filing process that will become available in FINRA Gateway on May 17, 2021.
