Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.Support for FinPro, TESS and CE is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET.
On April 16, 2018, FINRA will be upgrading Axway Secure Transport in the Production (PD) environment from the current version of 5.1 to version 5.3.
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
The OATS Reporting Technical Specifications document covers the requirements and procedures for clock synchronization; system access requirements for supplying OATS files to FINRA
Decision IssuanceAfter considering the application, the membership interview, documents provided by the Applicant, other information, the public interest and the protection of investors, FINRA’s Membership Application Program (MAP) will issue a decision as to whether membership will be granted, granted with restrictions, or denied. The decision will be based upon a determination as to whether the
Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
FINRA's educational materials highlight news, regulatory updates and other compliance topics. You can find advertising-related education using the following links.E-Learning CoursesFINRA e-learning courses offer an affordable solution for Firm Element, advertising regulation and other training needs. Firms trust FINRA's e-learning library for firm-wide training on rules and regulations
