FINRA Utility Menu

About FINRA
Careers
BrokerCheck
Data
Media Center
For Firms
Contact Us

Log In

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.

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

Incorporated NYSE Rules
Operation of Member Organizations (Rules 325–465)

EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

FINRA Manual
- Updates
Interpreting the Rules
The Rulemaking Process
Enforcement
Adjudication & Decisions
- National Adjudicatory Council (NAC)
- Office of Hearing Officers (OHO)

Commissions (Rules 365–390)

The Rule Notices Guidance News Releases FAQs

Book traversal links for Commissions (Rules 365–390)

‹ Offices and Employees (Rules 341–354)
Up
Conduct of Accounts (Rules 401–414) ›

Versions

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