Skip to main content
Home
Home

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • Contact Us

Log In

FinPro

For Industry Professionals

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

LOG IN

FINRA Gateway

For Member Firms

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

LOG IN

DR Portal

For Case Participants

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

LOG IN

Need Help? | Check Systems Status

Log In to other FINRA systems

  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
          1. Broker Dealers
          2. Capital Acquisition Brokers
          3. Funding Portals
          4. Individuals
      2. Registration section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
          2. Series 7
          3. All
        2. Continuing Education (CE)
      3. Registration section 3
        1. Registration Systems
          1. Classic CRD
          2. Financial Professional Gateway (FinPro)
          3. Financial Industry Networking Directory (FIND)
  • Events & Training
      1. Conferences & Events
      2. FINRA Institute at Georgetown
      3. E-Learning Courses
      4. Small Firm Conference Call
      5. Webinars
  • Filing & Reporting
      1. FINRA Gateway
      2. Systems Status
      3. Entitlement Program
      4. Market Transparency Reporting Tools
      5. Regulatory Filing Systems
      6. Data Transfer Tools
      7. E-Bill
  • Compliance Tools
      1. Cybersecurity Checklist
      2. Compliance Calendar
      3. Weekly Update Email Archive
      4. Peer-2-Peer Compliance Library
      5. Compliance Vendor Directory
  • For Investors
      1. For Investors section 1
        1. Investor Insights
        2. Tools & Calculators
        3. Personal Finance
          1. Net Worth
          2. Spending
          3. Debt
          4. Credit Scores
          5. Emergency Funds
      2. For Investors section 2
        1. Investing
          1. Investing Basics
          2. Investment Products
          3. Investment Accounts
          4. Choosing an Investment Professional
        2. Protect Your Money
          1. Investor Alerts
          2. Ask and Check
          3. Avoid Fraud
          4. Protect Your Identity
      3. For Investors section 3
        1. For the Military
        2. Need Help?
          1. File a Complaint
          2. FINRA Securities Helpline for Seniors
          3. Dispute Resolution
          4. SIPC Protection
          5. Avenues for Recovery of Losses
  1. Rules & Guidance
  2. Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
    • Rulebook Consolidation
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
    • Office of Hearing Officers (OHO)

Guidance
  • Podcast
    The Journey to the Cloud: Implications for the Securities Industry
    August 24, 2021
  • 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
  • Podcast
    AI Virtual Conference: Industry Views on the State of Artificial Intelligence
    November 24, 2020
  • Report / Study
    Artificial Intelligence (AI) in the Securities Industry
    June 10, 2020
  • 2019 Exam Findings Report
    Observations on Cybersecurity
    October 16, 2019
  • Podcast
    The Future of RegTech: The Challenges and Opportunities
    February 05, 2019
  • Guidance
    Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry
    September 10, 2018
  • Podcast
    ERI: Introducing FINRA’s Weatherman
    June 05, 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

           

   Subscribe to Updates

Home

FINRA Main Navigation

  • Rules & Guidance
  • Registration, Exams & CE
  • Events & Training
  • Filing & Reporting
  • Compliance Tools
  • For Investors

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • Contact Us

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
Learn More

General Inquiries

301-590-6500

Securities Helpline for Seniors®

844-574-3577 (Mon-Fri 9am-5pm ET)

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombudsman

Report a concern about FINRA at 888-700-0028

Footer Legal Links

  • Site Map
  • Privacy Policy
  • Terms of Use

Footer Legal 2

  • Contact

© FINRA. All Rights Reserved.

FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.