FINRA
FINRA operates the largest securities dispute resolution forum in the U.S., offering a range of services including professional registration, e-learning, disciplinary summaries, and regulatory education.
Securities Dispute Resolution Forum
FINRA operates the largest securities dispute resolution forum in the United States. This forum provides a structured mechanism for resolving disputes between investors and securities firms or individual brokers. The forum is designed to facilitate efficient and fair settlements through arbitration and mediation, ensuring that parties have access to impartial judgement for their cases.
Financial Professional Gateway (FinPro)
FINRA provides the Financial Professional Gateway (FinPro) for industry professionals to manage their securities registration information. This platform is essential for brokers and advisors to maintain their profiles, update their qualifications, and comply with regulatory requirements. FinPro streamlines the process and ensures that professionals have a secure and efficient method to handle their registration needs.
E-Learning Courses for Securities Industry
FINRA offers a range of e-learning courses tailored for firm element, anti-money laundering, and other training needs within the securities industry. These courses help professionals stay compliant with industry standards and regulatory requirements. The online format allows for flexible learning, making it easier for firms to ensure their employees are well-informed and up-to-date.
Central Registration Depository (CRD)
FINRA maintains the Central Registration Depository (CRD), which holds registration records for broker-dealer firms and their associated individuals. The CRD is a critical resource for tracking the credentials, disciplinary history, and employment records of securities professionals. It ensures transparency and accountability within the industry by providing a comprehensive database of regulatory information.
BrokerCheck Tool
FINRA provides BrokerCheck, a free tool for investors to research the background and experience of financial brokers, advisers, and firms. This service lets users verify the credentials of securities professionals, review their employment history, and check for any disciplinary actions. BrokerCheck aims to enhance consumer protection by promoting informed decision-making in the securities industry.