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A vibrant market is at its best when it works for everyone | FINRA.orgA vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Investor Education Promoting Informed Decision Making FINRA has launched an online advertising campaign, “Get Your Head In the Trade,” encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance. Read More Events & Training 2024 FINRA Advertising Regulation Conference FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed forA vibrant market is at its best when it works for everyone | FINRA.org Skip to main content FINRA Utility Menu About FINRA Careers BrokerCheck Data Media Center For Firms  For the PublicFINRA DATAFINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.LoginFor Industry ProfessionalsFINPRORegistered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.LoginFor Member FirmsFINRA GATEWAYFirm compliance professionals can access filings and requests, run reports and submit support tickets.LoginFor Case ParticipantsDR PORTALArbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.LoginNeed Help? | Check System StatusLog In to other FINRA systems Rules & GuidanceR&G Section 1FINRA ManualUpdatesInterpreting the RulesNoticesGuidanceFrequently Asked QuestionsKey TopicsInterpretive QuestionsR&G Section 2The Rulemaking ProcessRule FilingsRule Filing Status ReportRequests for CommentsRulebook ConsolidationR&G Section 3Adjudications & DecisionsNational Adjudicatory Council (NAC)Office of Hearing Officers (OHO)R&G Section 4EnforcementDisciplinary Actions OnlineMonthly Disciplinary ActionsSanction GuidelinesIndividuals Barred by FINRARegistration, Exams & CERegistration section 1RegistrationBroker DealersCapital Acquisition BrokersFunding PortalsIndividualsRegistration Section 2Qualification ExamsSecurities Industry Essentials Exam (SIE)Series 7AllContinuing Education (CE)Registration Section 3Registration SystemsClassic CRDFinancial Professional Gateway (FinPro)Financial Industry Networking Directory (FIND)Events & TrainingEvents & Training Section 1Conferences & EventsFINRA Institute at GeorgetownFinancial Learning Experience (FLEX)Small Firm Conference CallWebinarsFiling & ReportingFiling & Reporting Section 1FINRA GatewaySystems StatusEntitlement ProgramMarket Transparency Reporting ToolsRegulatory Filing SystemsData Transfer ToolsE-BillCompliance ToolsCompliance Tools Section 1Cybersecurity ChecklistCompliance CalendarWeekly Update Email ArchivePeer-2-Peer Compliance LibraryFor InvestorsFor Investors Section 1Investor InsightsTools & CalculatorsPersonal FinanceNet WorthSpendingDebtCredit ScoresEmergency FundsFor Investors Section 2InvestingInvesting BasicsInvestment ProductsInvestment AccountsWorking With an Investment ProfessionalProtect Your MoneyInvestor AlertsAsk and CheckAvoid FraudProtect Your IdentityFor Investors Section 3For the MilitaryNeed Help?File a ComplaintFINRA Securities Helpline for SeniorsDispute ResolutionAvenues for Recovery of Losses FINRA Utility Menu About FINRA Careers BrokerCheck Data Media Center For Firms  For the PublicFINRA DATAFINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.LoginFor Industry ProfessionalsFINPRORegistered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.LoginFor Member FirmsFINRA GATEWAYFirm compliance professionals can access filings and requests, run reports and submit support tickets.LoginFor Case ParticipantsDR PORTALArbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.LoginNeed Help? | Check System StatusLog In to other FINRA systems A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Investor Education Promoting Informed Decision Making FINRA has launched an online advertising campaign, “Get Your Head In the Trade,” encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance. Read More Events & Training 2024 FINRA Advertising Regulation Conference FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies. Read More Report / Study 2024 Industry Snapshot FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work. Read More See What's New Fixed Income Data Center Flexible access to high-value data and analysis is a critical need for investors, member firms and markets. The Fixed Income Data Center is our go-to resource for comprehensive, real-time access to fixed income security and trade information from multiple sources. Create a Watchlist for data most important to you. Read Now Exposing Insider Risk FINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide—over 450 referrals in 2023 alone—routinely result in criminal and civil action. Read Now FINRA’s Crypto Hub The Crypto Hub is a FINRA-wide effort to ensure we are prepared to fulfill our regulatory mission regarding the crypto asset-related activities of member firms and associated persons. The Hub serves as a nerve center to manage FINRA’s regulatory work related to crypto assets. Learn More Announcements FINRA Turns 85 This year, FINRA turns 85. This milestone is more than a number. It’s a testament to FINRA’s enduring commitment to protecting investors and safeguarding market integrity. Read More Follow FINRA on Instagram Follow FINRA's new Instagram page at @_FINRA to find investor-focused content designed to help the everyday investor up their investing know-how. Read More News Release FINRA’s Remote Inspections Pilot Program Begins; 741 Member Firms Opt-In to Participate Read More Blog Post FINRA’s Remote Inspections Pilot Program Begins Read More Investor Insights Extended-Hours Trading: Know the Risks Read More ARBITRATION & MEDIATIONFINRA operates the largest securities dispute resolution forum in the United StatesLearn More 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 General Inquiries301-590-6500Securities Helpline for Seniors®844-574-3577 (Mon-Fri 9am-5pm ET)File a Regulatory TipTo report on abuse or fraud in the industry Footer Legal Links Site Map Privacy Policy Terms of Use Contact Translate © 2024 FINRA. All Rights Reserved.FINRA is a Registered Trademark of the Financial Industry Regulatory Authority, INC. 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