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Regulator Directory
Your complete guide to FINRA compliance regulators

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Government
Industry-related government sites

Exchanges
Links to major exchanges around the world

Industry Publications
Sources for investment and financial news

Other Securities-Related Links
Securities-related resource guides

 

 

Testing

You will take your FINRA exams on computer at Thomson Learning Centers.

At the Thomson Prometric Registration Center, you will be able to:

Register to take your exam

Confirm your test date and registration

Identify test center locations

Get driving directions to your testing center

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Regulator Directory

Information for Regulators
National Headquarters
Washington, DC   202 833-7200

FINRA Regulators Exam Registration
Washington, DC   202 833-4861

State security regulators contacts

International regulators

Investor-related links

How to become a FINRA member

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Industry Associations

Securities Industry Association

Association for Investment Management and Research

North American Securities Administrators Association

Certified Financial Planner Board of Standards, Inc.

National Futures Association

National Association of Investment Professionals

Investment Company Institute

The Bond Market Association

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Government

Bureau of the Public Debt: Government Securities Market Regulation

U.S. Securities Exchange Commission

Municipal Securities Rulemaking Board

Commodities Futures Trading Commission

Futures Industry Association

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Exchanges

New York Stock Exchange

American Stock Exchange

NASDAQ Stock Market

Chicago Board of Options Exchange

Chicago Board of Trade

London Stock Exchange

Securities and Investments Board (UK)
(Financial Services Authority)


The London International Financial Futures and Options Exchange (Euronext)

Philadelphia Stock Exchange

NY Federal Reserve Bank

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Industry Publications

Fund Action (www.fundaction.com)

Fund Action is dedicated exclusively to the U.S. mutual fund industry. Topics covered by Fund Action include:
- Industry trends
- Mergers andacquisitions
- Executive compensation
- Industry alliances
- Fund families at banks and full-service brokerage firms
- Top-level personnel moves
- Compliance
- Technology
- State and federal regulators

Fund Marketing Alert (Defined Contribution and Savings Plan Alert)

Defined Contribution & Savings Plan Alert is a weekly newsletter that delivers exclusive intelligence on tax advantaged retirement, health care and college savings accounts.



Fund Directions (funddirections.com)

Fund Directions is the only independent publication covering issues of concern to mutual fund boards. Every month, Fund Directions identifies, reports on, and analyzes the key issues in mutual fund governance from an independent trustee's perspective. The newsletter examines the workings of boards, regulatory, legal, and accounting news and incorporates case studies on how specific boards solve specific problems. It covers practical "how to" strategies on issues, such as soft dollar allocation, dealing with valuation/pricing issues and assessing service providers. And it scrutinizes different board structures and strategies for dealing with management.

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Other Securities-Related Links

National Securities Clearing Corporation

NASDAQ Trader

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