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 in Columbus, OH 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-Person Training in Columbus.
This one-day training in Columbus, OH is for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms. A Disclosure Reporting Boot Camp will also be offered in Columbus Oct. 18 – 19.
This one-day training in New York, NY is for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms. A Disclosure Reporting Boot Camp will also be offered in New York Sept. 20 – 21.
FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
During this webinar, FINRA will provide guidance on completing Form U5 and reporting Internal Review and Termination events.
