Skip to main content
Home
Home

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms
  • 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. Working With 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. Notices
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)

Notices
  • Regulatory Notice 21-21
    FINRA Eliminates the Order Audit Trail System (OATS) Rules
    Thursday, June 17, 2021
  • Regulatory Notice 20-41
    FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
    Wednesday, December 02, 2020
  • Regulatory Notice 20-31
    FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
    Monday, August 31, 2020
  • Information Notice – 7/17/20
    Consolidated Audit Trail: Industry Presentation by CMRWG on CAT Compliance Rules
    Friday, July 17, 2020
  • Regulatory Notice 20-20
    FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance
    Monday, June 29, 2020

           

   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
  • For Firms
  • 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

  • Translate
  • Contact

© FINRA. All Rights Reserved.

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