Skip to main content
Home
Home

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms
  • Contact Us

Log In

FinPro

For Industry Professionals

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

LOG IN

FINRA Gateway

For Member Firms

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

LOG IN

DR Portal

For Case Participants

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

LOG IN

Need Help? | Check Systems Status

Log In to other FINRA systems

  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
          1. Broker Dealers
          2. Capital Acquisition Brokers
          3. Funding Portals
          4. Individuals
      2. Registration section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
          2. Series 7
          3. All
        2. Continuing Education (CE)
      3. Registration section 3
        1. Registration Systems
          1. Classic CRD
          2. Financial Professional Gateway (FinPro)
          3. Financial Industry Networking Directory (FIND)
  • Events & Training
      1. Conferences & Events
      2. FINRA Institute at Georgetown
      3. E-Learning Courses
      4. Small Firm Conference Call
      5. Webinars
  • Filing & Reporting
      1. FINRA Gateway
      2. Systems Status
      3. Entitlement Program
      4. Market Transparency Reporting Tools
      5. Regulatory Filing Systems
      6. Data Transfer Tools
      7. E-Bill
  • Compliance Tools
      1. Cybersecurity Checklist
      2. Compliance Calendar
      3. Weekly Update Email Archive
      4. Peer-2-Peer Compliance Library
      5. Compliance Vendor Directory
  • For Investors
      1. For Investors section 1
        1. Investor Insights
        2. Tools & Calculators
        3. Personal Finance
          1. Net Worth
          2. Spending
          3. Debt
          4. Credit Scores
          5. Emergency Funds
      2. For Investors section 2
        1. Investing
          1. Investing Basics
          2. Investment Products
          3. Investment Accounts
          4. Working With an Investment Professional
        2. Protect Your Money
          1. Investor Alerts
          2. Ask and Check
          3. Avoid Fraud
          4. Protect Your Identity
      3. For Investors section 3
        1. For the Military
        2. Need Help?
          1. File a Complaint
          2. FINRA Securities Helpline for Seniors
          3. Dispute Resolution
          4. Avenues for Recovery of Losses
  1. Rules & Guidance
  2. Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
    • Rulebook Consolidation
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
    • Office of Hearing Officers (OHO)

Guidance
  • Guidance
    Extensions of Time Filing Schedule
    June 30, 2023
  • Guidance
    Extension Reason Codes
    June 30, 2023
  • Guidance
    How to File an Extension of Time With FINRA
    June 30, 2023
  • FAQ
    Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521(d)
    April 13, 2021
  • FAQ
    Responses To Frequently Asked Questions Regarding Covered Agency Transactions Under FINRA Rule 4210
    September 18, 2017
  • Guidance
    Regulatory Notice 14-13
    March 25, 2014
  • FAQ
    Regulatory Notice 12-58
    December 27, 2012
  • Guidance
    Regulatory Notice 11-30
    June 27, 2011
  • Guidance
    Regulatory Notice 11-16
    April 07, 2011
  • Guidance
    Regulatory Notice 10-53
    October 26, 2010
  • Guidance
    Regulatory Notice 10-28
    June 09, 2010
  • Guidance
    Regulatory Notice 10-18
    April 06, 2010
  • Guidance
    Regulatory Notice 10-08
    February 10, 2010
  • Guidance
    Regulatory Notice 08-65
    November 04, 2008
  • Guidance
    Regulatory Notice 08-32
    June 23, 2008
  • Guidance
    Regulatory Notice 08-09
    March 14, 2008
  • Guidance
    Margin Statistics
  • Guidance
    Interpretations of Rule 4210
  • FAQ
    Portfolio Margin FAQ

           

   Subscribe to Updates

Home

FINRA Main Navigation

  • Rules & Guidance
  • Registration, Exams & CE
  • Events & Training
  • Filing & Reporting
  • Compliance Tools
  • For Investors

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms
  • Contact Us

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
Learn More

General Inquiries

301-590-6500

Securities Helpline for Seniors®

844-574-3577 (Mon-Fri 9am-5pm ET)

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombuds

Report a concern about FINRA at 888-700-0028

Footer Legal Links

  • Site Map
  • Privacy Policy
  • Terms of Use

Footer Legal 2

  • Translate
  • Contact

© FINRA. All Rights Reserved.

FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.