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Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
TRACE Reporting and Dissemination of Non-member Affiliate Transactions
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)
ORF
Testimony Before the Subcommittee on Oversight and Investigations
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today new initiatives aimed at protecting and educating investors.
Thank you very much—it's great to be here. I'd also like to thank President Rebecca Laird, and also Leslie Woolley, Chair of the Luncheon Committee, for the gracious invitation to meet with you. There is so much going on in our markets that it's hard to know what to talk about.