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.
Through its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect to these rules that may result from the misapplication of ASC 606.
Questions regarding this Notice should be directed to:
The CRCP® program, comprised of two non-consecutive weeklong residential courses, provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.
The CRCP® program, comprised of two non-consecutive weeklong residential courses, provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks. Whether you work in information security, information technology, cybercrime, compliance or are a business owner, you will learn from leading experts in the industry and participate in engaging sessions to leave you with valuable information to help you protect your organization.
WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.
