For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
FINRA and other regulators conduct sweeps to look into known issues across multiple firms. The number of firms included in a sweep varies. The firms that are included are carefully selected based on a variety of factors, including level and nature of business activity in a particular area, customer complaints and regulatory history, and prior examination findings. By limiting our inquiry to a small number of firms, sweeps allow FINRA to reduce the regulatory burden on the majority of firms.
Outcomes from sweeps vary. FINRA may take formal enforcement action, informal action or no action against firms included in a sweep. Some sweeps may not result in formal or informal action. Sweeps may also result in guidance or rulemaking.
To help firms inform their compliance programs, FINRA publishes a summary of the information requested in certain sweep letters. After the investigation phase of a sweep is complete, we also provide an overview of FINRA’s findings, which may include sharing effective practices observed. When all matters stemming from a sweep have received a final disposition, FINRA updates these pages with links to any formal regulatory action taken.