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.
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Center for Board Certified Fiduciaries |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must have industry experience and participate in a pre-registration interview to determine eligibility. |
| Designation Training Requirements | Candidates must complete the following coursework, available through in-person, virtual or blended instruction, followed by a peer review:
|
| Designation Exam Type | Two closed book, proctored final exams |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | Online at www.c-bcf.com/specialty-leaders |
| Investor Complaint Process | Online at www.c-bcf.com/contact |
| Published List of Disciplined Designees | No |
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
Questions regarding this Notice should be directed to: