The FINRA New Issue Form will be unavailable from 6:30 p.m. ET, Friday, September 25, 2020, until midnight ET Monday, September 28, 2020, while updates are made for the platform infrastructure conversion.
As FINRA has announced, the current FINRA New Issue Form is being retired and replaced with an updated submission platform. Beginning Monday, September 28, 2020, users will access the updated
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form
As the world’s largest securities self-regulatory organization, NASD has been helping to bring integrity to the markets and confidence to investors for more than 60 years.
The FINRA Test Facility (NTF) for the OTC Reporting Facility (ORF) will be unavailable for testing all day Friday August 5, 2022, Thursday, August 11, 2022, and Friday, August 12, 2022. All other FINRA services, including TRACE and the ADF will be available for testing during this timeframe. The ORF test facility will conduct normal operations on August 8-10 and again beginning on August 15, 2022
In 2022, FINRA developed an enterprise-wide strategy to ensure preparation for an evolving crypto asset regulatory landscape with the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, which originally aired in August 2023, we learn more about the strategy and the role of the Hub.
From Monday, May 20, 2024, through Friday, May 31, 2024, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed
Download the newly-published specifications for the data collection requirements of the Tick Pilot NMS Plan.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
