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.
Bill St. Louis is an Executive Vice President and Head of Enforcement. In this role, Mr. St. Louis manages and directs FINRA’s Enforcement national operations. He also leads the development of FINRA’s national enforcement policies and procedures, and oversees the prosecution of firms and individuals for disciplinary action.
SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.
SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.
SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.
SEC-required filing containing operational information. All broker-dealers file as of Dec. 31 of each year.