Question 1

What is FINRA's mission?

Accepted Answer

FINRA's mission is to promote investor protection, market integrity, and vibrant capital markets.

Question 2

How does FINRA support its members, markets, and investors?

Accepted Answer

FINRA has been working to continuously improve its regulatory policies and programs to make them more effective and efficient in serving its mission. This includes implementing new FINRA initiatives to better support its members, markets, and the investors they serve.

Question 3

What kind of information can I find on the FINRA website?

Accepted Answer

The FINRA website provides a variety of resources, including the ability to look up FINRA disciplinary actions, research brokers and firms, and access FINRA data for non-commercial use.

Question 4

How can I fulfill my continuing education requirements as a registered representative?

Accepted Answer

Registered representatives can log into the FINRA portal to fulfill their continuing education requirements, view their industry CRD record, and perform other compliance tasks.

Question 5

How can firm compliance professionals access FINRA filings and reports?

Accepted Answer

Firm compliance professionals can log into the FINRA Gateway to access filings and requests, run reports, and submit support tickets.

FINRA

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Frequently Asked Questions about FINRA

What is FINRA's mission?

How does FINRA support its members, markets, and investors?

What kind of information can I find on the FINRA website?

How can I fulfill my continuing education requirements as a registered representative?

How can firm compliance professionals access FINRA filings and reports?

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