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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

FINPRO

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

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For Member Firms

FINRA GATEWAY

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

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For Case Participants

DR PORTAL

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

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  1. Rules & Guidance
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Guidance
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    FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
    August 06, 2024
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    Checklists for Mandatory Materiality Consultations Under Rules 1017(a)(6) and 1017(a)(7)
    September 01, 2020
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    February 12, 2015
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    Membership Application Program Group (MAP) Frequently Asked Questions
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