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FINRA Utility Menu

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FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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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
    Targeted Examination Letter on Rights of Reinstatement (RoR)
    November 11, 2020
  • 2018 Exam Findings Report
    Suitability for Retail Customers
    December 07, 2018
  • 2017 Exam Findings Report
    Product Suitability
    December 06, 2017
  • Guidance
    Targeted Examination Letter on Mutual Fund Waivers
    May 16, 2016
  • Notice
    Regulatory Notice 08-58
    October 17, 2008
  • Report / Study
    Report of the Mutual Fund Task Force: Mutual Fund Distribution
    March 29, 2005
  • Report / Study
    Report of the Mutual Fund Task Force: Soft Dollars and Portfolio Transaction Costs
    November 11, 2004
  • Report / Study
    Report of the Omnibus Account Task Force
    January 30, 2004
  • Guidance
    Status Report: Implementation of Recommendations of Joint NASD/Industry Breakpoint Task Force
    July 22, 2003
  • Report / Study
    Report of the Joint NASD/Industry Task Force on Breakpoints
    July 12, 2003
  • Compliance Tools
    Breakpoints Written Disclosure Document
  • Guidance
    Common Definitions Mutual Funds Should Use to Describe Breakpoint Discount Rules
  • Compliance Tools
    Breakpoints Checklist & Worksheet
  • Training
    Breakpoints Training Outline
  • Compliance Tools
    Task Force Recommendations for New Confirmation Content
  • FAQ
    Mutual Fund Breakpoint Assessment Q&A
  • Compliance Tools
    Customer Letters About Breakpoint Refunds
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