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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

FINPRO

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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  1. Rules & Guidance
  2. Notices
EXPLORE THIS SECTION

FINRA Main Navigation

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Notices
  • Regulatory Notice 22-08
    FINRA Reminds Members of Their Sales Practice Obligations for Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements
    Tuesday, March 08, 2022
  • Regulatory Notice 12-03
    Heightened Supervision of Complex Products
    Tuesday, January 17, 2012
  • Regulatory Notice 10-09
    FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
    Friday, February 12, 2010
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