FINRA Launches New Disciplinary Actions Database

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This week, FINRA announced that it had launched the FINRA Disciplinary Actions Online database. According to FINRA’s news release, this is a web-based searchable system that makes its disciplinary actions accessible via its website at www.finra.org.

The database enables users to perform searches for FINRA actions free of charge, seven days a week. Users may search for actions by case number, document text, document type, action date (by date range), a combination of document text and action date, individual name and Central Registration Depository (CRD®) number, or firm name and CRD number. The documents can be viewed online, printed, or downloaded as text-searchable PDF files.

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