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.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Clarity 2 Prosperity |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must have:
|
| Designation Training Requirements | Complete an introductory and an advanced e-learning course with included knowledge assessments, and attend The Bucket Plan 1.0 two-day live training program |
| Designation Exam Type | Proctored, closed-book, multiple-choice final exam |
| Continuing Education Requirements | Designation holders must attend The Bucket Plan 1.0 or The Bucket Plan 2.0 Live Training course once per calendar year. |
| Verification and Complaints | |
| Online Designation Resource | Online at Find A Planner |
| Investor Complaint Process | Contact Clarity 2 Prosperity at (888) 240-1923 or by email at [email protected] |
| Published List of Disciplined Designees | None |
In observance of Martin Luther King Day, the ORF System will be closed on Monday, January 20, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Martin Luther King Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, January 20, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
In observance of Martin Luther King Day, the Alternative Display Facility (ADF) will be closed on Monday, January 20, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
In observance of Martin Luther King Day, the TRACE system will be closed on Monday, January 20, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Rule Filing Status: Filed for Immediate Effectiveness
Proposed rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to September 1, 2021. FINRA Rule 0180 temporarily limits, with certain exceptions, the application of FINRA rules with respect to security-based swaps.
