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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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Any candidate interested in taking a FINRA exam online (other than the Securities Industry Essentials (SIE), Series 6 or Series 7, which are already available online) must complete this FINRA Online Exam Administration Request Form. This request must be initiated by the candidate and submitted prior to scheduling their exam appointment. Candidates must complete all required fields and provide a reason for the request.
Note: The candidate requesting to test online must review the online system requirements and ensure that they meet such requirements for online testing prior to submitting this form.
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