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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 from October 31, 2022, to January 31, 2023. The proposed rule change would not make any changes to the text of FINRA rules.
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | DROP Institute |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must hold a Series 7, Series 6 or Series 65 registration or any applicable recognized financial services industry license or certification relating to management of money |
| Designation Training Requirements | Self-study training program |
| Designation Exam Type | Online, closed-book course exam |
| Continuing Education Requirements | 15 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | Online resource for investors who register as members at http://www.dropinstitute.com |
| Investor Complaint Process | Email complaints to [email protected] with the subject line “Complaint against CDROP Professional,” or send by mail to DROP Institute, 1 Ardmore Street, New Windsor, NY 12553. |
| Published List of Disciplined Designees | None |
