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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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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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Guidance
  • Report / Study
    2025 FINRA Annual Regulatory Oversight Report
    January 28, 2025
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    2024 FINRA Annual Regulatory Oversight Report
    January 09, 2024
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    2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
    January 10, 2023
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    2021 Report on FINRA’s Examination and Risk Monitoring Program
    February 01, 2021
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    2019 Report on Examination Findings and Observations
    October 16, 2019
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    2018 Report on FINRA Examination Findings
    December 07, 2018
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    2017 Report on FINRA Examination Findings
    December 06, 2017
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