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 President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski were joined by senior staff to discuss the importance of succession planning and a new compliance resource for small firms to use when undertaking this process.
This webinar provides an overview of the Customer Information Request that was sent to some member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.