Call Us : 1-603-965-7791

FINRA Links

http://www.finra.org/

FINRA is the largest independent regulator for all securities firms doing business in the United States. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.

 

http://www.finra.org/Industry/Compliance/Registration/QualificationsExams/Qualifications/

p011051

Registered Principal – Persons associated with a member who are actively engaged in the management of the member’s investment banking or securities business…

 

http://finra.complinet.com/ 

Search regulations, compliance, education and enforcement

 

http://www.finra.org/Newsroom/NewsReleases/2013/index.htm

News releases by year

 

http://www.finra.org/Newsroom/Statistics/

Statistics by year

 

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/

FINRA BrokerCheck® – Research Brokers, Brokerage Firms, Investment Adviser Representatives and Investment Adviser Firms

 

http://www.finra.org/industry/compliance/registration/crd/filingguidance/p005214

Web CRD and Related System Links

Website Apps