18-01513(2).pdf
Order to Confirm
Technical NoticeFINRA Internal Production Testing
November 04, 2020
As a reminder, FINRA will often conduct internal production region testing of its TRACE, ORF, ADF and TRF systems on Saturdays without the participation of firms. Clients are advised to only bring up their applications and connect to FINRA on Saturdays if they will be participating in testing.
Technical NoticeFINRA OTCE and OTC Transparency Data Websites Availability
November 05, 2020
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, November 7, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
19-03524.pdf
Consolidated with 19-03523 and 19-03525
19-03525.pdf
Consolidated with 19-03523 and 19-03524
19-03523.pdf
Consolidated with 19-03524 and 19-03525
Enhanced Form U4 Q&A Webinar
FINRA will discuss recently-deployed enhancements to Form U4 filings in FINRA Gateway. In addition to answering user questions, staff will highlight tools and provide updates.
Dynamic Reporting Use Case Exploration
This webinar will provide a walkthrough of Dynamic Reporting use cases such as: tracking FinPro attestations, individuals’ upcoming CE windows, and exam test locations.