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 recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and appointed to the Regional Committees, SFAC and NAC.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.