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About FINRAEvery investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees
Frequently Asked Questions | FINRA.orgFINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
EnforcementFINRA Enforcement works on the front lines of investor protection.
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 Sear
FINRA Manual | FINRA.orgThe FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main componen
FINRA Systems | FINRA.orgThe FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service.
FINRA Rule Consolidation | FINRA.orgFINRA is working toward a new consolidated rulebook, which seeks not only to harmonize and streamline existing rules, but also to give consideration to the rapidly evolving nature of the securities business and the broad
Notices | FINRA.orgFINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
FINRA DataOur member firms have routinely identified flexible access to data and FINRA analyses as a critical need when striving to avoid regulatory issues and lower regulatory costs. FINRA Data provides centralized access to the
Interpreting the Rules | FINRA.orgA critical function performed by FINRA Office of General Counsel (OGC) staff is to provide broker-dealers, attorneys, registered representatives, investors, and other interested parties with interpretive guidance relatin
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