NASD
Filed: August 16, 2007
[ Printed matter, namely, manuals and pamphlets concerning regulations and requirements pertaining to the securities industry…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 77257481
OTCBB
Filed: January 18, 2011
Financial services, namely, providing an online web site with quotation and trade information for unlisted publicly traded…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85220191
TRADE REPORTING AND QUOTATION SERVICE
Providing temporary use of non-downloadable software used in the financial securities field for reporting and disseminating…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85380543
FINRA ADDS
Filed: December 9, 2011
Providing a website featuring financial information pertaining to executed and rejected trades of financial securities
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85492078
FINRA AUTOMATED DATA DELIVERY SYSTEM
Filed: December 12, 2011
Providing a website featuring financial information pertaining to executed and rejected trades of financial securities
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85493077
PFRD
Filed: April 29, 2015
Providing on-line, electronic filing services for SEC-registered investment advisers required to file the Form PF
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613445
FINRA PRIVATE FUND REPORTING DEPOSITORY
Providing on-line, electronic filing services for SEC-registered investment advisers required to file the Form PF
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613595
FPRD
Filed: April 29, 2015
Providing an online, electronic filing system for SEC-registered funding portals pursuant to the crowdfunding provisions…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613694
FINRA FUNDING PORTAL REGISTRATION DEPOSITORY
Filed: April 29, 2015
Providing an online, electronic filing system for SEC-registered funding portals pursuant to the crowdfunding provisions…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613714
SECURITIES INDUSTRY ESSENTIALS
Filed: June 10, 2015
Testing to determine professional competency in the field of securities; administration of qualification examinations to…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86658247
TRACE
Providing temporary use of non-downloadable software used in the financial securities field for reporting and disseminating…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86896054
CRCP
Filed: May 10, 2017
Providing information in the fields of financial investments and financial regulation
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87444438
CERTIFIED REGULATORY AND COMPLIANCE PROFESSIONAL (CRCP)
Filed: May 10, 2017
Providing information in the fields of financial investments and financial regulation
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87444467
TESS
Filed: June 1, 2017
computer software for enrolling in and paying to take professional qualification examinations; computer software for viewing…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87471844
TRADE REPORTING AND QUOTATION SERVICE
providing temporary use of non-downloadable software for reporting and disseminating quotation and transactional information…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87847606
TRAQS
Filed: March 23, 2018
providing temporary use of non-downloadable software for reporting and disseminating quotation and transactional information…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87847627
FINRA CAT
Filed: March 21, 2019
Computer software containing and providing access to online databases pertaining to securities transactions; computer software…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88351274
FINRA'S INDUSTRY NETWORKING DATABASE
Filed: August 28, 2019
Business services, namely, maintaining a registry of national database in the field of financial services featuring financial…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88595692
FINRA
Filed: September 11, 2019
Downloadable computer software containing accessible databases and downloadable computer software used to access online…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88613203
FINRA CAT
Filed: January 23, 2020
Downloadable computer software containing and providing access to online databases pertaining to securities transactions…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88770817
FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY
Filed: June 4, 2020
Downloadable computer software containing accessible databases and downloadable computer software used to access online…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88948503
FIRST
Filed: September 21, 2022
business services, namely, maintaining data in an online database of rules and regulations pertaining to the financial securities…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97600465
FINRA RULEBOOK SEARCH TOOL
Filed: September 21, 2022
business services, namely, maintaining data in an online database of rules and regulations pertaining to the financial securities…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97600466
FINPRO GATEWAY
Filed: March 13, 2023
Downloadable and recorded software featuring information in the fields of financial services and professional licensing;…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97835982
FINPRO LEARNING EXPERIENCE
Filed: March 13, 2023
Continuing education services, namely, providing online continuing professional education programs in the field of financial…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97835986
FLEX @ FINRA
Filed: March 13, 2024
educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98446849
FINANCIAL LEARNING EXPERIENCE AT FINRA
Filed: March 13, 2024
educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98446852
