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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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      2. R&G section 2
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  • Registration, Exams & CE
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
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    • Notices
    • Guidance
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  • The Rulemaking Process
    • Rule Filings
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  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
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    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 21-41
    FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals
    Wednesday, November 17, 2021
  • Information Notice – 6/25/20
    FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education
    Thursday, June 25, 2020
  • Regulatory Notice 20-05
    FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
    Tuesday, February 18, 2020
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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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General Inquiries

301-590-6500

Securities Helpline for Seniors®

844-574-3577 (Mon-Fri 9am-5pm ET)

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To report on abuse or fraud in the industry

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File a complaint about fraud or unfair practices.

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