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FINRA Utility Menu

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For Industry Professionals

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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  1. Rules & Guidance
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FINRA Main Navigation

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Guidance
  • Guidance
    Reg BI and Form CRS
    January 28, 2025
  • Guidance
    Private Placements
    January 28, 2025
  • Guidance
    Reg BI and Form CRS
    January 09, 2024
  • Guidance
    Private Placements
    January 09, 2024
  • Guidance
    Firm Guidance – Private Placement Filings
    July 16, 2019
  • 2018 Exam Findings Report
    Reasonable Diligence for Private Placements
    December 07, 2018
  • Interpretive Letter
    Interpretive Letter to Brian Sweeney, Trustmont Financial Group, Inc.
    August 26, 2013
  • Guidance
    Regulatory Notice 13-26
    August 19, 2013
  • Notice
    Regulatory Notice 10-22
    April 20, 2010
  • FAQ
    Frequently Asked Questions (FAQ) about Private Placements
  • FAQ
    Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123
  • Compliance Tools
    Corporate Financing Report Cards
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    Private Placements Filing Timeliness Report
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    Private Placements
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