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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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FINRA GATEWAY

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

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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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FINRA Main Navigation

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Guidance
  • Guidance
    Market Access Rule
    January 28, 2025
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    Extended Hours Trading
    January 28, 2025
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    Market Access Rule
    January 09, 2024
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    Direct Market Access Controls
    October 16, 2019
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    Market Access Controls
    December 07, 2018
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    Market Access Controls
    December 06, 2017
  • Targeted Examination Letter
    Targeted Examination Letter on Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA")
    August 01, 2010
  • Guidance
    Market Access
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