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.
Omer Meisel is Executive Vice President in FINRA’s Regulatory Operations, where he leads the Investigations Program. The Investigations Program focuses on identifying and responding to indications of potential misconduct, as well as executing thorough investigations to substantiate or negate allegations, develop well-supported referrals to Enforcement for potential regulatory action, and inform broader industry guidance.