FINRA Information

Use the FINRA Information data section of a producer record to track the states in which an individual or firm producer is subject to FINRA (Financial Industry Regulatory Authority) jurisdiction and an individual producer's FINRA series examinations.

ClosedView screen capture

To review a producer's FINRA Information, click the FINRA Information link in the Quick Links box of a producer record that is open in the Review/Update Producer page.

The FINRA Information data section includes the following fields and controls:

ClosedJurisdiction States

Displays a table listing a selected producer's currently recorded jurisdiction state information.

Fields and controls include the following:

  • State: Displays the name of the state in which the producer is subject to FINRA jurisdiction.

  • Status: For each jurisdiction state listed, displays the current status of the producer's FINRA jurisdiction in the state.

  • Effective Date: For each jurisdiction state listed, displays the date on which the producer's FINRA jurisdiction began in the state.

  • Termination Date: For each jurisdiction state listed, displays the date on which the producer's FINRA jurisdiction ended in the state.

  • Series Type: Individual producers only. Displays the producer's FINRA series examinations.

  • Add/Update/Delete FINRA Information: Click to open the Maintain FINRA Information page, where you can view and maintain information regarding the states in which a producer is subject to FINRA (Financial Industry Regulatory Authority) jurisdiction and an individual producer FINRA series examinations.

Notes

Note: The FINRA Information section is being deprecated in favor of the Securities Information data section. We recommend that you do not enter or maintain any data in the FINRA Information data section.