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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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  • Rules & Guidance
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      2. R&G section 2
        1. The Rulemaking Process
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      3. R&G section 3
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  • Registration, Exams & CE
      1. Registration section 1
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      2. Registration section 2
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      3. Registration section 3
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      2. For Investors section 2
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  1. About FINRA
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  3. FINRA360 Progress Report
EXPLORE THIS SECTION

FINRA360 Progress Report

FINRA360 Progress Report

  • Operations
    • Changes to FINRA Enforcement Structure
    • FINRA Examination Program Improvements
    • FINRA Annual Budget Summary and Financial Principles
    • Interim Report on Use of Fine Monies
    • Data and Analytics
    • Regulatory Operations Oversight Committee (ROOC)
    • Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
    • Central Registration Depository (CRD) Improvements
  • Regulatory Policy
    • Retrospective Rule Review
    • Qualification Exam Restructuring
    • Capital Raising
  • Engagement

Regulatory Policy

FINRA has made a number of changes in the area of regulatory policy to improve the policy development process and better ensure that our rules reflect current industry dynamics.

  • Retrospective Rule Review
  • Qualification Exam Restructuring
  • Capital Raising
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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)

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

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