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.
Starting Nov. 1, firms can initiate Forms BDW and ADV-W filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.
Starting Oct. 16, firms can submit Forms U5 and BR Termination filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.
Rule Filing Status: Approved
Rule change to amend the Codes of Arbitration Procedure to modify the current process relating to the expungement of customer dispute information.