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

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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

The Customer Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Customer Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new Code.

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

This rule is no longer applicable. NASD Rule 12407 has been superseded by FINRA Rule 12407. Please consult the appropriate FINRA Rule.

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

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.