New Attestation feature available in FinPro. Firms can now enable the new FinPro Attestation feature in FINRA Gateway. The Attestation feature allows enabled users to confirm directly through the platform whether or not their individual record requires updating.

In addition to controlling the Attestation feature, firms can retrieve attestation data through FINRA Gateway. See the FinPro Firm Resources page for more information.

The Racial Justice Task Force is comprised of a diverse group of employees united in their goal to achieve meaningful, sustained progress in the fight against racism and prejudice within our organization, the securities industry and our communities. 

You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

A bond is a loan an investor makes to a corporation, government, federal agency or other organization in exchange for interest payments over a specified term plus repayment of principal at the bond’s maturity date. There are a wide variety of bonds including Treasuries, agency bonds, corporate bonds, municipal bonds and more. Likewise there are many types of bond mutual funds.

When you invest in bonds and bond mutual funds, you face the risk that your investment might lose money, especially if you bought an individual bond and want or need to sell it before it matures. And bond mutual fund prices can fluctuate, just as stock mutual funds do. Risk will also vary depending on the type of bond you own.

Bonds and bond mutual funds often can be an important component of a diversified investment portfolio. Whether you are just starting out or a seasoned investor, we have an array of articles, tools and resources to help learn more about bond...

Guarantees: Be suspect of anyone who guarantees that an investment will perform a certain way. All investments carry some degree of risk. Unregistered products: Many investment scams involve unlicensed individuals selling unregistered securities—ranging from stocks, bonds, notes, hedge funds, oil or gas deals, or fictitious instruments, such as prime bank investments. Overly consistent returns: Any investment that consistently goes up month after month—or that provides remarkably steady returns regardless of market conditions—should raise suspicions, especially during turbulent times. Even the most stable investments can experience hiccups once in a while. Complex strategies: Avoid anyone who credits a highly complex investing technique for unusual success. Legitimate professionals should be able to explain clearly what they are doing. It is critical that you fully understand any investment you’re seriously considering—including what it is, what the risks are and how the...

The Security Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

The SIE is open to anyone aged 18 or older. You may take the exam before receiving a job offer, and the results are valid for four years.