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.
This bootcamp includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters. It’s scheduled the day after the Registration Systems Foundation in Dallas.
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | DEC Institute |
| Qualification and Training Requirements | |
| Prerequisites | Level I: None Level II: Candidates must have passed the Level I exam and must be an undergraduate student, hold a bachelor’s degree, or have six months of industry experience. |
| Designation Training Requirements | Optional online training course and self-study materials |
| Designation Exam Type | Two proctored final exams (Level I and Level II), online or in person |
| Continuing Education Requirements | 30 hours every three years |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |