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FINRA Utility Menu

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For the Public

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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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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FINRA Main Navigation

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Guidance
  • Guidance
    Anti-Money Laundering, Fraud and Sanctions
    January 28, 2025
  • Report / Study
    The Metaverse and the Implications for the Securities Industry
    October 24, 2024
  • Report / Study
    Quantum Computing and the Implications for the Securities Industry
    October 30, 2023
  • Report / Study
    Cloud Computing in the Securities Industry
    August 16, 2021
  • 2021 Report on FINRAs Examination and Risk Monitoring Program
    Anti-Money Laundering
    February 01, 2021
  • Report / Study
    Artificial Intelligence (AI) in the Securities Industry
    June 10, 2020
  • 2019 Exam Findings Report
    Observations on Cybersecurity
    October 16, 2019
  • Guidance
    Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry
    September 10, 2018
  • 2017 Exam Findings Report
    Cybersecurity
    December 06, 2017
  • Guidance
    Report on Distributed Ledger Technology: Implications of Blockchain for the Securities Industry
    March 31, 2017
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