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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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For Member Firms

FINRA GATEWAY

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

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DR PORTAL

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  1. Rules & Guidance
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Guidance
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    Manipulative Trading
    January 28, 2025
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    Manipulative Trading
    January 09, 2024
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    Targeted Examination Letter on High Frequency Trading
    July 01, 2013
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