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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.

Login

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
  • Special Notice – 10/21/22
    FINRA Rulebook
    Friday, October 21, 2022
  • Regulatory Notice 21-25
    FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
    Thursday, July 08, 2021
  • Regulatory Notice 20-23
    FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
    Thursday, July 09, 2020
  • Special Notice – 7/30/18
    FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
    Monday, July 30, 2018
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