Skip to main content

FINRA Utility Menu

About FINRA
Careers
BrokerCheck
Data
Media Center
For Firms
Contact Us

Log In

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.

For Case Participants

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

Need Help? | Check Systems Status

Log In to other FINRA systems

Rules & Guidance
Registration, Exams & CE
Events & Training
Filing & Reporting
Compliance Tools
For Investors

FINRA Rules
1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
1100. MEMBER APPLICATION

1120. Member Application Process

The Rule Notices Guidance News Releases FAQs

No Results Found

No Results Found

No Results Found

No Results Found

1122. Filing of Misleading Information as to Membership or Registration

Book traversal links for 1120. Member Application Process

‹ 1113. Restriction Pertaining to New Member Applications
Up
1122. Filing of Misleading Information as to Membership or Registration ›

Disclaimer: The summary and detailed topics are only available for 40 FINRA Rules and have been applied as part of the FINRA Rulebook Search Tool™ (FIRST™) prototype. FIRST is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More

Summary Topics

Detailed Topics

Subscribe to Updates

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

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 Ombuds

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.