For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Utility Menu

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.

EXPLORE THIS SECTION

FINRA Main Navigation

FINRA Manual
- Updates
Interpreting the Rules
The Rulemaking Process
Enforcement
Adjudication & Decisions
- National Adjudicatory Council (NAC)
- Office of Hearing Officers (OHO)

FAQ
Short List Option to Reduce Extended List Appointments Frequently Asked Questions
FAQ
Arbitration Fee Frequently Asked Questions
FAQ
Frequently Asked Questions about Arbitration Awards
FAQ
Hearings FAQ
FAQ
Mediation FAQ
FAQ
Mediation Fee Frequently Asked Questions