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 virtual training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and related systems. Training is held over two half-days. There are two sessions available: June 29 and 30, 2022 and July 13 and 14, 2022.
This virtual training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and related systems. Training is held over two half-days. There are two sessions available: June 29 and 30, 2022 and July 13 and 14, 2022.
