www.finra.org

• charset: utf-8
• name: description content: A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Report / Study 2026 Industry Snapshot 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 our work. Read More Report / Study 2026 FINRA Annual Regulatory Oversight Report The 2026 FINRA Annual Regulatory Oversight
• name: google content: p6aFpyERRdC4Ror_K0mTRRtXKjAsz35RTQl_MDv_nNg
• property: og:description content: A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Report / Study 2026 Industry Snapshot 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 our work. Read More Report / Study 2026 FINRA Annual Regulatory Oversight Report The 2026 FINRA Annual Regulatory Oversight
• property: og:image content: https://www.finra.org/sites/default/files/2023-12/finra-logo.png
• name: Generator content: Drupal 10 (https://www.drupal.org)
• name: MobileOptimized content: width
• name: HandheldFriendly content: true
• name: viewport content: width=device-width, initial-scale=1, shrink-to-fit=no
• equiv: x-ua-compatible content: ie=edge

• Skip to main content
• About Us
• Careers
• Data
• Media Center
• For Firms
• Check System Status
• Log In to other FINRA systems
• http://www.finra.org/
• Rules & Guidance
• FINRA Manual
• Updates
• Interpreting the Rules
• Notices
• Guidance
• Frequently Asked Questions
• Key Topics
• Interpretive Questions
• The Rulemaking Process
• Rule Filings
• Requests for Comments
• Regulatory Policy Agenda
• Rulebook Consolidation
• Adjudications & Decisions
• National Adjudicatory Council (NAC)
• Office of Hearing Officers (OHO)
• Enforcement
• Disciplinary Actions Online
• Monthly Disciplinary Actions
• Sanction Guidelines
• Individuals Barred by FINRA
• Registration, Exams & CE
• Registration
• Broker Dealers
• Capital Acquisition Brokers
• Funding Portals
• Individuals
• Qualification Exams
• Securities Industry Essentials Exam (SIE)
• Series 7
• Continuing Education (CE)
• View a Regulatory Element Learning Plan
• Classic CRD
• Financial Professional Gateway (FinPro)
• Financial Industry Networking Directory (FIND)
• Events & Training
• Upcoming Events
• On-Demand Education
• FINRA Crypto and Blockchain Education Program
• FINRA Certified Regulatory and Compliance Professional (CRCP)® Program
• Financial Learning Experience (FLEX)
• Technical & Navigational Webinars
• Filing & Reporting
• FINRA Gateway
• Systems Status
• Entitlement Program
• Financial Intelligence Fusion Center (FIFC)
• Market Transparency Reporting Tools
• Regulatory Filing Systems
• Data Transfer Tools
• E-Bill
• Compliance Tools
• Anti-Money Laundering Template
• Cybersecurity Checklist
• Compliance Calendar
• Weekly Update Email Archive
• Membership Application Program (MAP) Tools
• For Investors
• Investor Insights
• Tools & Calculators
• Personal Finance
• Financial Goals
• Net Worth
• Spending
• Debt
• Credit Scores
• Emergency Funds
• Investing
• Investing Basics
• Investment Accounts
• Investment Products
• Investment Strategies
• Working With an Investment Professional
• Protect Your Money
• Check Registration
• Avoid Fraud
• Watch for Red Flags
• Safeguard Your Identity
• For the Military
• Need Help?
• File an Investor Complaint
• FINRA Securities Helpline for Seniors
• Arbitration & Mediation
• SIPC Protection
• Avenues for Recovery of Losses
• Join the Industry or Take an Exam
• Contact Us
• Look up FINRA Disciplinary Actions
• http://www.finra.org/media-center/reports-studies/2026-industry-snapshot
• http://www.finra.org/rules-guidance/guidance/reports/2026-finra-annual-regulatory-oversight-report
• http://www.finra.org/about/finra-forward
• See What's New
• Read Now
• Read Now
• Learn More
• http://www.finra.org/media-center/finra-unscripted/making-your-voice-heard-through-finra-member-engagement
• http://www.finra.org/follow-finra-on-instagram-redirect
• http://www.finra.org/investors/insights/understanding-settlement-cycles
• http://www.finra.org/media-center/finra-unscripted/how-finra-is-enhancing-member-firm-examinations
• http://www.finra.org/investors/insights/be-alert-signs-imposter-investment-scams
• General Inquiries
• Securities Helpline for Seniors
• File a Regulatory Tip
• Small Firm Help Line
• Office of the Ombuds
• Site Map
• Privacy Policy
• Terms of Use
• Translate

• BrokerCheck
• https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1
• https://finpro.finra.org/
• https://gateway.finra.org/
• https://drportal.finra.org/
• Need Help?
• Rule Filing Status Report
• Research a Broker or Firm
• https://www.twitter.com/finra
• https://www.linkedin.com/company/finra/
• https://www.facebook.com/FinancialIndustryRegulatoryAuthority/
• https://www.instagram.com/finraofficial/
• https://www.youtube.com/@finra

            Domain Name: FINRA.ORG
Registrar: GoDaddy Corporate Domains, LLC
Domain Status: client transfer prohibited
Registry Expiry Date: 2027-06-29T20:51:32.608Z
Creation Date: 2007-06-29T20:51:32.608Z
Updated Date: 2026-06-04T23:05:29.362Z
Name Server: EDNS1.ULTRADNS.ORG
Name Server: EDNS1.ULTRADNS.BIZ
Name Server: EDNS1.ULTRADNS.NET
Name Server: EDNS1.ULTRADNS.COM
Name Server: NS33.ULTRADNS2.ORG
Name Server: NS33.ULTRADNS2.COM
REGISTRAR Contact: GoDaddy Corporate Domains, LLC
>>> Last update of RDAP database: 2026-06-09T04:57:08Z         

			#
# robots.txt
#
# This file is to prevent the crawling and indexing of certain parts
# of your site by web crawlers and spiders run by sites like Yahoo!
# and Google. By telling these "robots" where not to go on your site,
# you save bandwidth and server resources.
#
# This file will be ignored unless it is at the root of your host:
# Used:    http://example.com/robots.txt
# Ignored: http://example.com/site/robots.txt
#
# For more information about the robots.txt standard, see:
# http://www.robotstxt.org/robotstxt.html

User-agent: *
# CSS, JS, Images
Allow: /core/*.css$
Allow: /core/*.css?
Allow: /core/*.js$
Allow: /core/*.js?
Allow: /core/*.gif
Allow: /core/*.jpg
Allow: /core/*.jpeg
Allow: /core/*.png
Allow: /core/*.svg
Allow: /profiles/*.css$
Allow: /profiles/*.css?
Allow: /profiles/*.js$
Allow: /profiles/*.js?
Allow: /profiles/*.gif
Allow: /profiles/*.jpg
Allow: /profiles/*.jpeg
Allow: /profiles/*.png
Allow: /profiles/*.svg
# Directories
Disallow: /core/
Disallow: /profiles/
Disallow: /sites/default/files/aao_documents/*
Disallow: /sites/default/files/fda_documents/*
Disallow: /sites/default/files/non-indexed/*
Disallow: /media/*
Disallow: /taxonomy/*
Disallow: /node/*
# Files
Disallow: /README.txt
Disallow: /web.config
Disallow: /sites/default/files/2019_AC_AML_Challenges.pdf
Disallow: /sites/default/files/2019_AC_Blockchain_ICOs_Cryptocurrencies.pdf
Disallow: /sites/default/files/2019_AC_Books_and_Records.pdf
Disallow: /sites/default/files/2019_AC_Branch_Cybersecurity_Controls.pdf
Disallow: /sites/default/files/2019_AC_Branch_Office_Inspections.pdf
Disallow: /sites/default/files/2019_AC_Breakfast_Member_Supervision_Staff.pdf
Disallow: /sites/default/files/2019_AC_Business_Continuity.pdf
Disallow: /sites/default/files/2019_AC_CCOs_Role_in_Cybersecurity.pdf
Disallow: /sites/default/files/2019_AC_Clearing_and_Operational_Issues.pdf
Disallow: /sites/default/files/2019_AC_Common_Examination_Findings_Institutional.pdf
Disallow: /sites/default/files/2019_AC_Common_Examination_Findings_Med_Large.pdf
Disallow: /sites/default/files/2019_AC_Common_Examination_Findings_Small.pdf
Disallow: /sites/default/files/2019_AC_Communications_With_Public.pdf
Disallow: /sites/default/files/2019_AC_Complex_Products.pdf
Disallow: /sites/default/files/2019_AC_Conflicts_Interest.pdf
Disallow: /sites/default/files/2019_AC_Conflicts_Interest_Investment_Banking.pdf
Disallow: /sites/default/files/2019_AC_CRCP_Lunch.pdf
Disallow: /sites/default/files/2019_AC_Cyber_Guidance_Small_Firms.pdf
Disallow: /sites/default/files/2019_AC_Cybersecurity_Response_Plans.pdf
Disallow: /sites/default/files/2019_AC_Digital_Assets_Initial_Coin_Offerings.pdf
Disallow: /sites/default/files/2019_AC_Digital_Transformation.pdf
Disallow: /sites/default/files/2019_AC_Diversity_Inclusion_Luncheon.pdf
Disallow: /sites/default/files/2019_AC_Effective_Documentation_0.pdf
Disallow: /sites/default/files/2019_AC_Fraud_Detection.pdf
Disallow: /sites/default/files/2019_AC_Effective_Supervision_Med_Large.pdf
Disallow: /sites/default/files/2019_AC_Enforcement.pdf
Disallow: /sites/default/files/2019_AC_Ethical_Culture.pdf
Disallow: /sites/default/files/2019_AC_Financial_Operational_Practices.pdf
Disallow: /sites/default/files/2019_AC_FINRA_Rule_2210.pdf
Disallow: /sites/default/files/2019_AC_FinTech_Wealth_Management.pdf
Disallow: /sites/default/files/2019_AC_FinTech_Trends.pdf
Disallow: /sites/default/files/2019_AC_Fixed_Income.pdf
Disallow: /sites/default/files/2019_AC_Fraud_Misappropriation.pdf
Disallow: /sites/default/files/2019_AC_High-Risk_Activity.pdf
Disallow: /sites/default/files/2019_AC_How_FINRA_Rules_Get_Made.pdf
Disallow: /sites/default/files/2019_AC_AML_Risks.pdf
Disallow: /sites/default/files/2019_AC_Managing_Cybersecurity_Risks_0.pdf
Disallow: /sites/default/files/2019_AC_Margin_Requirements.pdf
Disallow: /sites/default/files/2019_AC_Detecting_Preventing_Misconduct.pdf
Disallow: /sites/default/files/2019_AC_Mark-Up_Disclosure_Requirements.pdf
Disallow: /sites/default/files/2019_AC_Membership_Application_Program.pdf
Disallow: /sites/default/files/2019_AC_Mergers_Acquisitions.pdf
Disallow: /sites/default/files/2019_AC_Multigenerational_Clients_Staff.pdf
Disallow: /sites/default/files/2019_AC_Municipal_Securities.pdf
Disallow: /sites/default/files/2019_AC_Navigate_Arbitration_Sm_Firms.pdf
Disallow: /sites/default/files/2019_AC_OBAs_PSTs.pdf
Disallow: /sites/default/files/2019_AC_Orientation.pdf
Disallow: /sites/default/files/2019_AC_Changes_to_CE_Program.pdf
Disallow: /sites/default/files/2019_AC_Registration_Requirements.pdf
Disallow: /sites/default/files/2019_AC_Regulatory_Changes.pdf
Disallow: /sites/default/files/2019_AC_Regulatory_Exams.pdf
Disallow: /sites/default/files/2019_AC_Social_Media.pdf
Disallow: /sites/default/files/2019_AC_Suitability_Rule.pdf
Disallow: /sites/default/files/2019_AC_Suitability_What_You_Need_to_Know.pdf
Disallow: /sites/default/files/2019_AC_Supervising_Variable_Annuities_Business.pdf
Disallow: /sites/default/files/2019_AC_Suspicious_Activity_Monitoring.pdf
Disallow: /sites/default/files/2019_AC_Three_Lines_Defense.pdf
Disallow: /sites/default/files/2019_AC_Third-Party_Vendors.pdf
Disallow: /sites/default/files/2018_CC_CCO_Role.pdf
Disallow: /sites/default/files/2018_CC_Cyber_Incident_Response.pdf
Disallow: /sites/default/files/2018_CC_Guidance_Small_Firms.pdf
Disallow: /sites/default/files/2018_CC_Effective_Practices.pdf
Disallow: /sites/default/files/2018_CC_Keynote_Address.pdf
Disallow: /sites/default/files/2019_AC_Welcome_Remarks.pdf
Disallow: /sites/default/files/2019_AC_Fireside_Chat.pdf
Disallow: /sites/default/files/2019_AC_Compliance_Legal_Trends.pdf
Disallow: /sites/default/files/2019_AC_Keynote_Chris_Gardner.pdf
Disallow: /sites/default/files/2018_CC_Branch_Controls.pdf
Disallow: /sites/default/files/2018_CC_Insight_from_Experts.pdf
Disallow: /sites/default/files/2019_AC_Ask_FINRA_Senior_Staff.pdf
Disallow: /sites/default/files/2018_CC_Cyber_Attacks.pdf
Disallow: /sites/default/files/2018_CC_Steps_if_Breached.pdf
Disallow: /compliance-tools/Industry_Risks_and_Threats/genaitips
Disallow: /sites/default/files/non-indexed/2024-05/OFI-CAU-Generative-AI-050224.pdf
Disallow: /sites/default/files/2024-10/tip_document_101624.pdf
Disallow: /sites/default/files/non-indexed/2024-11/TIP-Gen-AI-Enhanced-NAF-and-ATO-112124_1.pdf
Disallow: /sites/default/files/non-indexed/2025-02/tip-gen-ai-enhanced-bec-022725.pdf
Disallow: /sites/default/files/non-indexed/2025-07/GenAI-Enabled_Market_Deception_Final.pdf
Disallow: /sites/default/files/2025-08/TIP-Gen%20AI-Enhanced%20Ransomware_PDF.pdf
Disallow: /industry/real-world-scenario-ransomware-video
Disallow: /sites/default/files/2018_CC_Welcome.pdf
Disallow: /events-training/conferences-events/get-set-state-examiner-training-2021
Disallow: /events-training/conferences-events/get-set-state-examiner-training-2021/agenda
Disallow: /sites/default/files/2021-01/2021_GetSET_On-line_Brochure.pdf
Disallow: /arbitration-mediation/arbitration-awards-online
Disallow: /rules-guidance/oversight-enforcement/finra-disciplinary-actions
Disallow: /investors/investing/investment-products/options/*
Disallow: /investors/investing/investment-products/futures-and-commodities/*
Disallow: /investors/investing/investment-products/annuities/*
Disallow: /investors/investing/investment-products/alternative-and-emerging-products/*
Disallow: /investors/investing/investment-products/digital-assets/*
Disallow: /investors/investing/investment-products/mutual-funds/*
Disallow: /investors/investing/investment-products/exchange-traded-funds-and-products/*
Disallow: /investors/investing/investment-products/bank-products/*
Disallow: /investors/investing/investment-products/bonds/*
Disallow: /investors/investing/investment-products/stocks/overview
Disallow: /investors/investing/investment-products/stocks/types
Disallow: /investors/investing/investment-products/stocks/buying-selling
Disallow: /investors/investing/investment-products/stocks/risks
Disallow: /investors/investing/investment-accounts/brokerage-accounts/*
Disallow: /investors/investing/investment-accounts/retirement-accounts/*
Disallow: /investors/investing/investment-accounts/college-savings-accounts/overview
Disallow: /investors/investing/investment-accounts/college-savings-accounts/types
Disallow: /investors/investing/investment-accounts/college-savings-accounts/other-considerations
Disallow: /events-training/conferences-events/2026-annual-conference/participant-agenda
# Paths (clean URLs)
Disallow: /admin/
Disallow: /comment/reply/
Disallow: /filter/tips
Disallow: /node/add/
Disallow: /search/
Disallow: /user/register/
Disallow: /user/password/
Disallow: /user/login/
Disallow: /user/logout/
# Paths (no clean URLs)
Disallow: /index.php/admin/
Disallow: /index.php/comment/reply/
Disallow: /index.php/filter/tips
Disallow: /index.php/node/add/
Disallow: /index.php/search/
Disallow: /index.php/user/password/
Disallow: /index.php/user/register/
Disallow: /index.php/user/login/
Disallow: /index.php/user/logout/
Disallow: /index.php/*
        

SEO técnico

SEO na página

Conteúdo e experiência do usuário