This category mapping is provided as a tool to assist member firms in understanding Rule 4111. The terms used in this mapping are defined in Rule 4111, which controls their meaning. This mapping guidance will be updated publicly as needed.
The table below maps the disclosure events that are relevant for Rule 4111 (Restricted Firm Obligations) by category to the
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Preparing for a Virtual Pre-Hearing Conference
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Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to perform the following functions for the TRACE, ORF and ADF facilities:
Submit, view, and amend the FINRA Participation Agreement;
View and modify access to the FINRA trade reporting facilities including, TRACE, ORF and ADF;
View, add, modify, and delete various agreements including the
