Skip to main content
Home
Home

FINRA Utility Menu

  • About FINRA
  • Careers
  • BrokerCheck
  • Data
  • Media Center
  • For Firms
  • Contact Us

Log In

 

FINRA Data

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
      1. R&G section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
          1. Broker Dealers
          2. Capital Acquisition Brokers
          3. Funding Portals
          4. Individuals
      2. Registration section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
          2. Series 7
          3. All
        2. Continuing Education (CE)
      3. Registration section 3
        1. Registration Systems
          1. Classic CRD
          2. Financial Professional Gateway (FinPro)
          3. Financial Industry Networking Directory (FIND)
  • Events & Training
      1. Conferences & Events
      2. FINRA Institute at Georgetown
      3. E-Learning Courses
      4. Small Firm Conference Call
      5. Webinars
  • Filing & Reporting
      1. FINRA Gateway
      2. Systems Status
      3. Entitlement Program
      4. Market Transparency Reporting Tools
      5. Regulatory Filing Systems
      6. Data Transfer Tools
      7. E-Bill
  • Compliance Tools
      1. Cybersecurity Checklist
      2. Compliance Calendar
      3. Weekly Update Email Archive
      4. Peer-2-Peer Compliance Library
      5. Compliance Vendor Directory
  • For Investors
      1. For Investors section 1
        1. Investor Insights
        2. Tools & Calculators
        3. Personal Finance
          1. Net Worth
          2. Spending
          3. Debt
          4. Credit Scores
          5. Emergency Funds
      2. For Investors section 2
        1. Investing
          1. Investing Basics
          2. Investment Products
          3. Investment Accounts
          4. Working With an Investment Professional
        2. Protect Your Money
          1. Investor Alerts
          2. Ask and Check
          3. Avoid Fraud
          4. Protect Your Identity
      3. For Investors section 3
        1. For the Military
        2. Need Help?
          1. File a Complaint
          2. FINRA Securities Helpline for Seniors
          3. Dispute Resolution
          4. Avenues for Recovery of Losses
  1. Rules & Guidance
  2. Guidance
  4. 2024 FINRA Annual Regulatory Oversight Report
EXPLORE THIS SECTION

2024 FINRA Annual Regulatory Oversight Report

  • Introduction
    • How to Use the Report
  • Financial Crimes
    • Cybersecurity and Technology Management
    • Anti-Money Laundering, Fraud and Sanctions
    • Manipulative Trading
  • Crypto Asset Developments
  • Firm Operations
    • Outside Business Activities and Private Securities Transactions
    • Books and Records
    • Regulatory Events Reporting
    • Trusted Contact Persons
    • Crowdfunding Offerings: Broker-Dealer and Funding Portals
  • Communications and Sales
    • Communications with the Public
    • Reg BI and Form CRS
    • Private Placements
    • Variable Annuities
  • Market Integrity
    • Consolidated Audit Trail (CAT)
    • Best Execution
    • Disclosure of Routing Information
    • Regulation SHO – Bona Fide Market Making Exemptions
    • Fixed Income – Fair Pricing
    • OTC Quotations in Fixed Income Securities
    • Advertised Volume
    • Market Access Rule
  • Financial Management
    • Net Capital
    • Liquidity Risk Management
    • Credit Risk Management
    • Portfolio Margin and Intraday Trading
    • Segregation of Assets and Customer Protection
  • Appendix – Using FINRA Reports in Your Firm’s Compliance Program

Financial Crimes
  • Cybersecurity and Technology Management
  • Anti-Money Laundering, Fraud and Sanctions
  • Manipulative Trading
Previous:
How to Use the Report
Up:
Financial Crimes
Next:
Cybersecurity and Technology Management

Download the Report

Home

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
  • Contact Us

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
Learn More

General Inquiries

301-590-6500

Securities Helpline for Seniors®

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

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombuds

Report a concern about FINRA at 888-700-0028

Footer Legal Links

  • Site Map
  • Privacy Policy
  • Terms of Use

Footer Legal 2

  • Translate
  • Contact

© FINRA. All Rights Reserved.

FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.