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.
CE Transformation: Upcoming Changes to Annual Regulatory Element and Firm Element Requirements
Compliance professionals at member firms are invited to join FINRA staff for a review of upcoming rule changes detailed in Regulatory Notice 21-41. Attendees are able to submit advance questions as part of the registration process, and FINRA will answer selected questions during the webinar. Space is limited, and a recording will be made available in the future.
