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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.
For Case Participants
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
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Candidates who have taken a FINRA exam and want to challenge the specific content of one or more questions on that exam should complete and submit this form within 30 days of their exam testing date. For a list of FINRA exams, including the SIE, visit finra.org/finra_exams. Candidates must complete all required fields and include detailed information for each challenged exam question. FINRA will provide a written response within 20 days of the receipt of your challenge form.
Don't know your individual/firm CRD number? Consult BrokerCheck.