9600. PROCEDURES FOR EXEMPTIONS
- Regulatory Notice 16-15April 27, 2016
- Regulatory Notice 15-31August 26, 2015
- Regulatory Notice 15-30August 26, 2015
- Regulatory Notice 12-29June 14, 2012
- Regulatory Notice 09-49August 14, 2009
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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.