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Listen to the Latest FINRA Unscripted Podcast

April 3, 2024
Volume 14





Upcoming Deadlines and Effective Dates


Education and Compliance Programs



FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities. Read the press release.

Tune in to the latest episode of the FINRA Unscripted podcast to hear from members of FINRA's Complex Investigations and Intelligence Team on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends. Listen here.


Newly Published

  • Effective April 27, firms will use an enhanced data entry process to submit certain Financial Notifications to FINRA. Enhancements include the consolidation of several notification forms, two new forms and a new section in FINRA Gateway through which firms will submit their notifications. Read more.
  • Trade Reporting Notice 3/22/24 provides advance notice of future updates to FINRA’s equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. 

Upcoming Deadlines and Effective Dates

Web EFT Retires November 2024

Reminder to firms using the legacy Web EFT service: Effective Nov. 15 all associated XML file upload and download functionality will be completely retired. Current Web EFT subscribers wishing to continue making automated data transfers with FINRA must transition to using the new FINRA API platform. Visit the platform’s Web EFT Sunset page for key milestones and answers to frequently asked questions. 

Education and Compliance Programs

Register for FINRA’s upcoming events:

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