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FINRA Utility Menu

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FINRA DATA

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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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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  1. Rules & Guidance
  2. Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

  • FINRA Manual
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Guidance
  • 2017 Exam Findings Report
    Order Capacity
    December 06, 2017
  • Notice
    Regulatory Notice 07-39
    August 30, 2007
  • Guidance
    Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
    July 12, 2007
  • FAQ
    OATS OTC FAQ
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    OATS Compliance Monthly Report Card
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    FAQ regarding Order Audit Trail System (OATS) Compliance
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    Frequently Asked Questions about OATS Phase III
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    OATS for all NMS Stocks FAQ
  • FAQ
    OATS Definitions FAQ
  • FAQ
    OATS Technical FAQ
  • FAQ
    Frequently Asked Questions (FAQ) regarding the Order Audit Trail System (OATS)
  • FAQ
    OATS Clock Synchronization FAQ

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