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… with FINRA if you’re engaged in the securities business of your firm, which includes salespersons, branch managers, department supervisors, partners, officers and directors.
FINRA 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 diversity of firms
Learn how to plan and execute a successful migration to GitHub or between GitHub products.
Jane Street is a quantitative trading firm and liquidity provider with a unique focus on technology and collaborative problem solving.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, including but not limited to: advising companies and private equity funds on capital raising and corporate restructuring, andacting as a placement ag
FINRA's latest news releases, podcasts, reports and studies, and more.
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…p to main content FINRA Utility Menu About Us Careers BrokerCheck Data Media Center For Firms For the Public FINRA DATA FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond
The FINRA broker-dealer (BD) registration process covers a firm's full life cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandator
An asset refers to a piece of media content that is stored or is being live streamed through the Mux system. An asset always has a duration and one or more tracks (audio, video, and text data). The media content of an asset cannot be update
…p to main content FINRA Utility Menu About Us Careers BrokerCheck Data Media Center For Firms For the Public FINRA DATA FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond
Intermediate E-learning Available NowSelf-paced Learn MoreFinancial Crimes Spotlight Webinar: Imposter ScamsJune 112 – 3 p.m. ETLearn MoreNavigating RansomwareJune 162 – 3 p.m. ETLearn MoreFINOP Focus: Open Contractual Commitments in Underw
Find out more about the non-profit organisation behind Ghost – building open source technology for the future of journalism & publishing.
Paragraph Reference Latest Notices, Guidance and Alerts PodcastInside FINRA Forward: A Conversation with FINRA Board Chair Scott CurtisJun 02, 2026 Report / Study2026 Industry SnapshotJun 01, 2026 GuidanceCyber Alert: GitHub Security Incide
…p to main content FINRA Utility Menu About Us Careers BrokerCheck Data Media Center For Firms For the Public FINRA DATA FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond
Jane Street is a quantitative trading firm and liquidity provider with a unique focus on technology and collaborative problem solving.
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 enga
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