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FINRA Utility Menu

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FINRA DATA

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

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Approved Rule Changes Pending Determination of Effective Date
SR-FINRA-2024-004
  • 6730. Transaction Reporting
SR-FINRA-2023-016
  • 2210. Communications with the Public
SR-FINRA-2023-013
  • 12208. Representation of Parties
  • 13208. Representation of Parties
  • 14106. Representation of Parties
SR-FINRA-2022-031
  • 6470. Disclosure of Order Routing Information for OTC Equity Securities
SR-FINRA-2019-008
  • 2232. Customer Confirmations
  • 6710. Definitions
  • 6760. Obligation To Provide Notice and Dissemination of Corporate Debt Security New Issue Reference Data
SR-FINRA-2010-056
  • 1113. Restriction Pertaining to New Member Applications
  • 9521. Purpose and Definitions
  • 9522. Initiation of Eligibility Proceeding; Member Regulation Consideration
  • 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1
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