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.
Join us for a cybersecurity on vendor risk management. As the complexity and prevalence of cyber-attacks grow, it is more essential than ever for CCOs and firm leaders to understand how to effectively manage vendor risks. This 90-minute session covers the risks and threats associated with vendors, vendor lifecycle phases, controls and compliance, and actionable tips firms can leverage to strengthen vendor risk management programs.
As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-attacks. This session covers key aspects of the types of cyber threats firms can encounter, Incident Response frameworks, third-party risk considerations, and an interactive cyber tabletop exercise with actional tips firms can leverage to strengthen their cyber posture.
FINRA Fixed Income Regulation, Member Supervision, and Market Regulation are hosting a live webinar to provide key insights and discuss areas of focus for 2025 examinations and investigations related to fixed income securities and municipal advisory activities.
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.
