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7</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content74de55a6-970c-49a4-877f-6a3cd1584db9--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/classic-crd" class="sf-depth-4" aria-labelledby="Classic CRD">Classic CRD</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc425811e-6944-4643-9a4b-21222d7ed44e--2" 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"><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/events-training" class="sf-depth-2 menuparent" aria-labelledby="Events & Training Section 1">Events & Training Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf380a1ac-d9fd-45e2-8f15-32b96331c18f--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/conferences-events" class="sf-depth-3" aria-labelledby="Conferences & Events">Conferences & Events</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9abdc27c-9497-426d-be8e-465a10d034ac--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/finra-georgetown" class="sf-depth-3" aria-labelledby="FINRA Institute at Georgetown">FINRA Institute at Georgetown</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content81cc3c6b-ad65-4627-8b34-69f4bb5d3e5e--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/flex" class="sf-depth-3" aria-labelledby="Financial Learning Experience (FLEX)">Financial Learning Experience (FLEX)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8febe617-8873-4d02-aca8-d13df4b6649e--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/small-firms-information/small-firm-report" class="sf-depth-3" aria-labelledby="Small Firm Conference Call">Small Firm Conference Call</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content911c7ec5-023c-4c98-953f-b121ff986fa3--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li 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aria-labelledby="Compliance Tools Section 1">Compliance Tools Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2badcc82-a0ba-4813-a97b-5cde27a154a6--2" class="sf-depth-3 header sf-no-children"><a href="https://www.finra.org/compliance-tools/cybersecurity-checklist" class="sf-depth-3 sf-external" aria-labelledby="Cybersecurity Checklist">Cybersecurity Checklist</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7f6b440c-bc36-49c7-900b-1fe8e36909db--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/compliance-calendar" class="sf-depth-3" aria-labelledby="Compliance Calendar">Compliance Calendar</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente0f11415-45ff-4cf1-925e-cf2b1f5cecf9--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/weekly-archive" class="sf-depth-3" aria-labelledby="Weekly Update Email Archive">Weekly Update Email Archive</a></li><li 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aria-labelledby="Net Worth">Net Worth</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content26f056cf-1b99-4c9d-a97c-18cc65a4eb22--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/control-spending-calculate-cash-flow" class="sf-depth-4" aria-labelledby="Spending">Spending</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2c662e03-9e1f-4e44-80e6-aba99155f167--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/manage-your-debt" class="sf-depth-4" aria-labelledby="Debt">Debt</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2d5626b5-fe42-47bf-8088-a4996e53f73e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/how-your-credit-score-impacts-your-financial-future" class="sf-depth-4" aria-labelledby="Credit Scores">Credit Scores</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content5388280f-edc8-40b9-a071-e4d109117508--2" class="sf-depth-4 header 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aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf03d2691-6592-4649-b41d-6652712ef3d0--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 3">For Investors Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentb0c88306-2bd6-4078-8a56-8766b2affe7f--2" class="sf-depth-3 header sf-no-children"><a href="/investors/military" class="sf-depth-3" aria-labelledby="For the Military">For the Military</a></li><li 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class="sf-depth-4" aria-labelledby="Dispute Resolution">Dispute Resolution</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content6b4ead9c-d440-41c5-af0b-aa0f20f66919--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/legitimate-avenues-recovery-investment-losses" class="sf-depth-4" aria-labelledby="Avenues for Recovery of Losses">Avenues for Recovery of Losses</a></li></ol></li></ol></div></li></ol></li></ul></li> </ul> </div> </div> </section> </div> <hr> <div id="mob_menu_sec" class="secondary-menu" style = "display:none"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" class="clearfix nav navbar-nav"> <li 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field--label-hidden field__items"> <div class="field__item"> <div id='column_para' onclick= "location.href = '/registration-exams-ce/qualification-exams/securities-industry-essentials-exam'" ><div class="paragraph paragraph--type--card-items-column paragraph--view-mode--default"> <div class="field field--name-field-column-link field--type-link field--label-hidden field__item"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam">Join the Industry or Take an Exam</a></div> <div class="field field--name-field-column-details field--type-string field--label-hidden field__item"><span>Register</span></div> </div> </div> </div> <div class="field__item"> <div id='column_para' onclick= "location.href = '/contact-finra'" ><div class="paragraph paragraph--type--card-items-column paragraph--view-mode--default"> <div class="field field--name-field-column-link field--type-link field--label-hidden field__item"><a href="/contact-finra">Have Questions or Concerns?</a></div> <div class="field field--name-field-column-details field--type-string field--label-hidden field__item"><span>Contact Us</span></div> </div> </div> </div> <div class="field__item"> <div id='column_para' onclick= "location.href = '/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online'" ><div class="paragraph paragraph--type--card-items-column paragraph--view-mode--default"> <div class="field field--name-field-column-link field--type-link field--label-hidden field__item"><a href="/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online">Look up FINRA Disciplinary Actions</a></div> <div class="field field--name-field-column-details field--type-string field--label-hidden field__item"><span>Search Cases</span></div> </div> </div> </div> <div class="field__item"> <div id='column_para' onclick= "location.href = 'https://brokercheck.finra.org/'" ><div class="paragraph paragraph--type--card-items-column paragraph--view-mode--default"> <div class="field field--name-field-column-link field--type-link field--label-hidden field__item"><a href="https://brokercheck.finra.org/">Research a Broker or Firm</a></div> <div class="field field--name-field-column-details field--type-string field--label-hidden field__item"><span>Search Brokercheck</span></div> </div> </div> </div> </div> </div> </div> <div class="field__item"> <div class="paragraph paragraph--type--featured-section paragraph--view-mode--featured-section"> <div class="featured-section-homepage"> <div class="featured-section-title" id="featured"> <h2> Featured </h2></div> <div class="field field--name-field-featured-section1 field--type-entity-reference field--label-hidden field__items row"> <div class="field__item field__item-1" > <a href="/tradesmart-redirect" class="announcement-wrapper"> <div> <div class="node__content clearfix"> <div class="field--name-field-core-content-type-tax"> <div class="field__item red-title"> Investor Education </div> </div> </div> <div> <h2 class="node__title"> Promoting Informed Decision Making </h2> </div> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item">FINRA has launched an online advertising campaign, “Get Your Head In the Trade,” encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance.</div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </a> </div> <div class="field__item field__item-2" > <a href="/events-training/conferences-events/2024-compliance-outreach-program" class="announcement-wrapper"> <div> <div class="node__content clearfix"> <div class="field--name-field-core-content-type-tax"> <div class="field__item red-title"> </div> </div> </div> <div> <h2 class="node__title"> 2024 Compliance Outreach Program </h2> </div> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item">The 2024 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free live-streamed and in-person program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.</div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </a> </div> <div class="field__item field__item-3" > <a href="/media-center/reports-studies/2024-industry-snapshot" class="announcement-wrapper"> <div> <div class="node__content clearfix"> <div class="field--name-field-core-content-type-tax"> <div class="field__item red-title"> Report / Study </div> </div> </div> <div> <h2 class="node__title"> 2024 Industry Snapshot </h2> </div> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item">FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.</div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </a> </div> </div> </div> <div class="featured-section-whats-new"> <a href="/whats-new" target="_blank">See What's New</a></div> </div> </div> <div class="field__item"> <div class="paragraph paragraph--type--three-sections-paragraph-display paragraph--view-mode--featured-section"> <div class="field field--name-field-three-sections field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item field__item-1" > <style> [data-background-image].paragraph--three-sections-items { background-size: cover; background-position-x: 60%; background-repeat: no-repeat; background-image: linear-gradient(270deg, #0082D103 -150%, #0070b7 50%, #0070b7 100%), url(https://www.finra.org/sites/default/files/2024-05/Mask%20Group%2038.png) } @media only screen and (min-width: 576px) { [data-background-image].paragraph--three-sections-items { background-size: cover; background-image: linear-gradient(270deg, #0082D103 -150%, #0070b7 80%, #0070b7 100%), url(https://www.finra.org/sites/default/files/2024-05/Mask%20Group%2038.png) } @media only screen and (min-width: 768px) { [data-background-image].paragraph--three-sections-items { background-image: linear-gradient(270deg, #0082D103 -100%, #0070b7 100%), url(https://www.finra.org/sites/default/files/2024-05/Mask%20Group%2038.png) } } </style> <div class="paragraph--three-sections-items" data-background-image> <div class="three-sections-item__wrapper"> <div class="content"> <div class="field field--name-field-section-title field--type-string field--label-hidden field__item"> <h3>How FINRA Serves Investors and Members</h3> </div> <div class="clearfix text-formatted field field--name-field-body field--type-text-long field--label-hidden field__item"><p>As a not-for-profit, self-regulatory organization with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways.</p></div> <div class="field field--name-field-cta-link field--type-link field--label-hidden field__item"><a href="/about/how-finra-serves-investors-and-members">Read Now</a></div> </div> </div> </div> </div> <div class="field__item field__item-2" > <div class="paragraph--three-sections-items"> <div class="three-sections-item__wrapper"> <div class="content"> <div class="field field--name-field-section-title field--type-string field--label-hidden field__item"> <h3>Exposing Insider Risk</h3> </div> <div class="clearfix text-formatted field field--name-field-body field--type-text-long field--label-hidden field__item"><p class="MsoNormal"><span style="background:white;color:#1E1E1E;font-family:"Open Sans",sans-serif;">FINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide—over 450 referrals in 2023 alone—routinely result in criminal and civil action.<p></p></span></p></div> <div class="field field--name-field-cta-link field--type-link field--label-hidden field__item"><a href="/media-center/blog/finra-plays-vital-role-exposing-insider-trading">Read Now</a></div> </div> </div> </div> </div> <div class="field__item field__item-3" > <div class="paragraph--three-sections-items"> <div class="three-sections-item__wrapper"> <div class="content"> <div class="field field--name-field-section-title field--type-string field--label-hidden field__item"> <h3>FINRA’s Crypto Hub</h3> </div> <div class="clearfix text-formatted field field--name-field-body field--type-text-long field--label-hidden field__item"><p class="MsoNormal"><span style="color:#1E1E1E;font-family:"Open Sans",sans-serif;">The Crypto Hub is a FINRA-wide effort to ensure we are prepared to fulfill our regulatory mission regarding the crypto asset-related activities of member firms and associated persons. The Hub serves as a nerve center to manage FINRA’s regulatory work related to crypto assets.<p></p></span></p></div> <div class="field field--name-field-cta-link field--type-link field--label-hidden field__item"><a href="/rules-guidance/key-topics/crypto-assets">Learn More</a></div> </div> </div> </div> <div class="field__item--dynamic-fix"></div> </div> </div> </div> </div> <div class="field__item"> <div class="paragraph paragraph--type--announcements-section paragraph--view-mode--featured-section announcements"> <div class="field field--name-field-paragraph-container-name field--type-string field--label-hidden field__item"><h2>Announcements</h2></div> <div class="announcements-details"> <div class="field field--name-field-column-a field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item"> <div class="paragraph paragraph--type--announcement-with-image paragraph--view-mode--default"> <div class="field field--name-field-node-reference field--type-entity-reference field--label-hidden field__items"> <div class="field__item"> <a href="/finra-turns-85" class="announcement-wrapper"> <div class="node node--type-article node--promoted node--view-mode-announcement-with-image clearfix announcement-with-image"> <div class="core-desktop-image"> <div class="field field--name-field-core-desktop-image field--type-image field--label-hidden field__item"> <img src="/sites/default/files/styles/large/public/2024-09/finra_85th_logo_homepage.png?itok=uNPZOm-g" width="480" height="276" alt="Finra 85" loading="lazy" class="image-style-large" /> </div> </div> <div class="content"> <div class="core-content-type"></div> <div class="title"> <div class="field field--name-field-core-short-title-tx field--type-string field--label-hidden field__item">FINRA Turns 85</div> </div> <div class="body-summary"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item">This year, FINRA turns 85. This milestone is more than a number. It’s a testament to FINRA’s enduring commitment to protecting investors and safeguarding market integrity. </div> </div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </div> </a> </div> <div class="field__item"> <a href="/follow-finra-on-instagram-redirect" class="announcement-wrapper"> <div class="node node--type-article node--promoted node--view-mode-announcement-with-image clearfix announcement-with-image"> <div class="core-desktop-image"> <div class="field field--name-field-core-desktop-image field--type-image field--label-hidden field__item"> <img src="/sites/default/files/styles/large/public/2024-05/instagram-qr-code-new-home-tile.png?itok=j7ZoLpi4" width="454" height="271" alt="follow" loading="lazy" class="image-style-large" /> </div> </div> <div class="content"> <div class="core-content-type"></div> <div class="title"> <div class="field field--name-field-core-short-title-tx field--type-string field--label-hidden field__item">Follow FINRA on Instagram</div> </div> <div class="body-summary"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item">Follow FINRA's new Instagram page at @_FINRA to find investor-focused content designed to help the everyday investor up their investing know-how.</div> </div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </div> </a> </div> </div> </div> </div> </div> <div class="field field--name-field-column-b field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item"> <div class="paragraph paragraph--type--announcement-without-image paragraph--view-mode--default"> <div class="field field--name-field-node-reference field--type-entity-reference field--label-hidden field__items"> <div class="field__item"> <a href="/rules-guidance/key-topics/residential-supervisory-locations/rsl-video-guide-form-U4" class="announcement-wrapper"> <div class="node node--type-article node--promoted node--view-mode-announcement-without-image clearfix announcement-without-image"> <div class="core-content-type">Guidance</div> <div class="title"> <div class="field field--name-field-core-short-title-tx field--type-string field--label-hidden field__item">Video Guide: Completing the RSL Question on Form U4</div> </div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </a> </div> <div class="field__item"> <a href="/investors/insights/sim-swapping-risks" class="announcement-wrapper"> <div class="node node--type-article node--promoted node--view-mode-announcement-without-image clearfix announcement-without-image"> <div class="core-content-type">Investor Insights</div> <div class="title"> <div class="field field--name-field-core-short-title-tx field--type-string field--label-hidden field__item">SIM Swapping Risks to Investors</div> </div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </a> </div> <div class="field__item"> <a href="/rules-guidance/key-topics/fintech/report/metaverse-implications" class="announcement-wrapper"> <div class="node node--type-article node--promoted node--view-mode-announcement-without-image clearfix announcement-without-image"> <div class="core-content-type">Report / Study</div> <div class="title"> <div class="field field--name-field-core-short-title-tx field--type-string field--label-hidden field__item">The Metaverse and the Implications for the Securities Industry</div> </div> <div class="read-more"><span class="anchor-link">Read More</span></div> </div> </a> </div> </div> </div> </div> </div> </div> </div> </div> </div> </div> </article> </div> </div> </section> </main> </div> </div> </div> <footer id="FINRA_footer" class="site-footer"> <div class="container-fluid"> <section class="region region-footer-highlight"> <div id="block-footerhighlight" data-block-plugin-id="block_content:13129ca4-9a12-445a-8240-396c465d4de4" class="block 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