Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Proposed Rule Change to Revise the Series 23 Examination Program
Proposed Rule Change to Revise the Series 24 Examination Program
On March 2, 2015, FINRA will be upgrading the File Transmission encryption protocol in the OATS Production (PD) environment and will no longer support the use of the SSLv3 encryption protocol.
These changes will take effect in the OATS Certificate Test (CT) environment on February 16, 2015.
ORF Migration Task Checklist
(6/16/14, PDF 188 KB)
OTC Reporting Facility Migration: Frequently Asked Questions
(6/16/14, PDF 438 KB)
ORF Testing Guidelines
(3/26/14, PDF 301 KB)
ORF Migration Overview of Functional Changes
(2/10/14, PDF 126 KB
FINRA has updated the Financial Information eXchange (FIX) and Computer-to-Computer Interface (CTCI) specifications for reporting OTC equity trades to the new OTC Reporting Facility (ORF) platform. Reporting to the new platform will become effective on Monday June 2, 2014.
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings
