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About FINRA | FINRA.org

(53 years ago) To protect investors and ensure the market’s integrity, FINRA—the Financial Industry Regulatory Authority—is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence. every investor receives the basic protections they deserve;

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Locations | FINRA.org

(53 years ago) With 19 offices and 3,600 employees deployed throughout the country, FINRA is dedicated to ensuring that our nation’s financial markets are fair and honest. And because we operate in the communities where firms do business and disputes actually occur, we understand emerging issues affecting investors right in their own neighborhoods.

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Financial Professional Gateway (FinPro) | FINRA.org

(53 years ago) What's New April 2022: Notifications Tracking Report Available April 5. Effective April 5, firms can use the Notifications Tracking Report in FINRA Gateway to monitor FinPro’s auto-generated Regulatory Element CE email notifications.The report includes many data points requested by firms, including email addresses, email subject, date sent, and the date an email was opened.

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Registration, Exams and CE | FINRA.org

(53 years ago) Central Registration Depository (CRD) CRD is a secure system that serves two purposes: It contains the registration records of broker-dealer firms and their associated individuals, including their qualification, employment and disclosure histories. It also facilitates the processing of form filings, fingerprint submissions, qualification exams ...

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A vibrant market is at its best when it works for everyone.

(53 years ago) FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not-for-profit organization that – working under ...

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What's New | FINRA.org

(53 years ago) May 04, 2022 · News Release. FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000. May 4, 2022.

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finra search | FINRA.org

(53 years ago) January 5, 2015. Individual Registration FINRA Fingerprint Process Change FINRAs new fingerprint process for brokerdealer firms and funding portals became effective 7 am ET on Dec 6 2021 consistent with the fingerprint plan filed with and declared effective by the SEC Under the new process brokerdealers and funding portals must route ...

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For Investors | FINRA.org

(53 years ago) FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. We also provide tools and calculators to …

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FINRA Gateway | FINRA.org

(53 years ago) Technology shouldn't slow you down—it should make you more efficient. That's why FINRA has launched the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific …

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BrokerCheck - Find a broker, investment or financial advisor

(53 years ago) Go to your state securities regulator to do additional research on brokers and investment advisers. BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a "breach of trust."

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Schedule an Exam | FINRA.org

(53 years ago) Feb 23, 2021 · An appointment can be scheduled at a test center either through Prometric's scheduling page or by calling their Contact Center toll free at (800) 578-6273 during core hours including Monday through Friday 8 a.m. – 8 p.m. ET and Saturday through Sunday 10 a.m. – 4 p.m. ET, excluding federal holidays.

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File a Complaint | FINRA.org

(53 years ago) File a Complaint. ( Centro de Reclamo para el inversionista) Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other ...

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Qualification Exams | FINRA.org

(53 years ago) 1. Enroll for an Exam. 2. Schedule an Exam. 3. On the Day of Your Exam. To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.

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Using the FINRA Fund Analyzer | FINRA.org

(53 years ago) The Fund Analyzer allows you to do comparisons easily, quickly, and accurately. To configure this analysis: Select the same mutual fund with different share classes using the Search tool. Adjust any parameters, such as the investment amount, return, or …

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News Releases | FINRA.org

(53 years ago) Mar 24, 2022 · FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000. WASHINGTON—FINRA announced today that it has fined two FINRA-registered funding portals a combined $1.75 million for failing to comply with securities laws and rules designed to protect crowdfunding investors. May 04, 2022.

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TRAQS Access | FINRA.org

(53 years ago) Apr 19, 2021 · The URL to access TRAQS is https://www.finratraqs.org. FINRA has produced a dedicated TRAQS Multi Factor Authentication (MFA) User Guide, and recommends that users review this guide to familiarize themselves with the new processes for TRAQS secure system access using MFA. If you have not yet established your MFA credentials, have your firm’s ...

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Careers | FINRA.org

(53 years ago) As a FINRA employee, you join a diverse and talented team of industry leaders who make sure investors are protected and the market is trusted. Discover your opportunity to oversee more than 634,000 brokers across the country, analyze billions of daily market events, use innovative AI and machine learning technologies, and drive our award-winning diversity initiatives forward, and …

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| FINRA.org

(53 years ago) 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.

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Contact FINRA | FINRA.org

(53 years ago) FINRA staff is working remotely in light of COVID-19. We strongly encourage investors who are filing complaints to do so electronically. Investor Contacts Investor Complaint Center FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.

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DR Portal | FINRA.org

(53 years ago) Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRA Gateway Call ...

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FINRA International | FINRA.org

(53 years ago) FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to: Facilitate cooperation and information sharing between FINRA and foreign authorities to the benefit of FINRA's regulatory and policy units; Ensure that FINRA has strong relationships with ...

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Registration | FINRA.org

(53 years ago) Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration. To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities.

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2022 FINRA Annual Conference | FINRA.org

(53 years ago) May 18, 2021 · A room block is available at the Marriott Marquis Washington, DC at $348.00 per night, plus tax until April 29, 2022 or until the room block is sold out. Room Reservation Process for FINRA Programs. To reserve a room at the above hotels, you must first register as an attendee for the conference. A hotel reservation link will then be provided in ...

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Statistics | FINRA.org

(53 years ago) FINRA is responsible for regulating every broker and brokerage firm doing business with the U.S. public. The selected statistics below represent: 1) the work we do as a regulator and 2) an overview of the securities industry based on data we capture. Key FINRA Statistics for 2020.

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2022 Report on FINRA’s Examination and Risk Monitoring Program

(53 years ago) Feb 09, 2022 · The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For each topical area covered, the Report identifies the relevant rule (s), highlights key considerations for member firms’ compliance programs 1, summarizes noteworthy findings from ...

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FINRA Data | FINRA.org

(53 years ago) Our 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 is designed to centralize access to the abundance of data available to your firm so that you can minimize the time spent finding available data and instead focus ...

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FINRA Gateway

(53 years ago) © 2021 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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OFAC

(53 years ago) For assistance with OFAC data or requirements, please contact the Office of Foreign Asset Control (OFAC). If you find a match or are in doubt about a specific account or transaction or you need additional information, contact OFAC's Compliance Hotline at 800-540-6322. DISCLAIMER: FINRA and its affiliates make no warranties or other ...

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Firms We Regulate | FINRA.org

(53 years ago) Firms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. A Funding Portal is a crowd funding ...

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Conferences & Events | FINRA.org

(53 years ago) COVID-19: A Message From FINRA Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and …

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Enroll for an Exam | FINRA.org

(53 years ago) Enroll Now. To enroll for the appropriate exam, find it below and click the Enroll button for that group. You will automatically be directed to the correct enrollment process for that exam. For the best experience, please use a Windows laptop or desktop. Users have reported issues enrolling on Mac, mobile and tablet devices.

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Media Center | FINRA.org

(53 years ago) Apr 21, 2022 · FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000. May 04, 2022.

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Filing & Reporting | FINRA.org

(53 years ago) Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements. FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and …

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How to Register With FINRA | FINRA.org

(53 years ago) FINRA’s secure online licensing system, the Central Registration Depository (CRD®), enables entitled users, typically individuals from a firm’s registration or compliance department, to register individuals with FINRA, other self-regulatory organizations and state regulators. In addition to registration and licensing information, the CRD system includes qualification, employment and ...

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What We Do | FINRA.org

(53 years ago) What We Do. FINRA plays a critical role in ensuring the integrity of America’s financial system—all at no cost to taxpayers. Working under the supervision of the Securities and Exchange Commission, we: Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.;

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FINRA Hotline | FINRA.org

(53 years ago) Due to the COVID-19 outbreak, most FINRA staff are working remotely. FINRA remains fully operational through the support of our robust remote work capabilities and continues to carry out all of our regulatory responsibilities, protecting investors and market integrity. This message was updated March 13, 2020, at 4:20 PM.

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Working at FINRA | FINRA.org

(53 years ago) Working at FINRA. Visualize yourself as one of our 3,600 smart, dedicated and passionate employees – what do you see? Watch the videos below to hear employees from New York to Denver (and more) discuss what it’s like to work at FINRA, and how each of them contributes to our mission of facilitating investor protection and market integrity.

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FINRA Institute at Georgetown | FINRA.org

(53 years ago) Sep 17, 2021 · The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP) ® program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. The CRCP ® program is delivered in partnership with the McDonough School of …

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Please Wait While Redirecting to Login page

(53 years ago) © 2021 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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Please Wait While Redirecting to Login page

(53 years ago) Please Wait While Redirecting to Login page

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Become a FINRA Arbitrator | FINRA.org

(53 years ago) Supplement Your Income – FINRA arbitrators receive an honorarium for each regular session they attend: typically $600 per day or $725 per day for arbitrators serving as chairpersons. For cases filed on or after April 19, 2021, chairpersons will receive an additional $250 for each hearing day (for a total of $850 for a typical hearing day) and ...

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Financial Reports and Policies | FINRA.org

(53 years ago) May 09, 2022 · Financial Reports and Policies. May 09, 2022. As a not-for-profit, self-regulatory organization whose operations are funded by member firm fees—without the support of any taxpayer dollars—FINRA must prudently manage its finances to ensure it can appropriately fund its mission to protect investors and promote market integrity in a manner ...

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TLS Upgrade | FINRA.org

(53 years ago) 6 hours ago · Effective Monday, August 29, 2022, the FINRA TRACE, ADF and ORF Web API reference data downloads will no longer be accessible using the Transport Layer Security (TLS) 1.1 protocol. FINRA will disable TLS 1.1, and firms using that protocol will not be able to establish connectivity to FINRA’s secure web servers to download the files. To gain access to the …

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FINRA Dispute Resolution Services | FINRA.org

(53 years ago) Arbitration & Mediation Coronavirus Impact on Arbitration & Mediation Hearings FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is accomplished through two non-judicial proceedings: …

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Webinars | FINRA.org

(53 years ago) Aug 21, 2021 · FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.

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Home | FINRA API Developer Center

(53 years ago) The API Developer Center is a strategic FINRA initiative to support the automation goals of member firms and the broader financial services industry. FINRA also wants to support and encourage the innovation opportunities presented by APIs and work with industry participants to create new solutions that improve risk management and lower ...

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FINRA Qualification and Registration Requirements Frequently …

(53 years ago) The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240.1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working for a financial services industry …

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FINRA Rules | FINRA.org

(53 years ago) 8310. Sanctions for Violation of the Rules. 8311. Effect of a Suspension, Revocation, Cancellation, Bar or Other Disqualification. 8312. FINRA BrokerCheck Disclosure. 8313. Release of Disciplinary Complaints, Decisions and Other Information. 8320.

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