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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
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FINRA Main Navigation

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Notices
  • Election Notice – 11/15/2023
    Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
    Wednesday, November 15, 2023
  • Election Notice - 9/25/2023
    FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
    Monday, September 25, 2023
  • Regulatory Notice 17-13
    FINRA’s NAC Revises the Sanction Guidelines
    Monday, April 10, 2017
  • Regulatory Notice 16-27
    FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
    Thursday, August 04, 2016
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