In accordance with the industry-led initiative to shorten the settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor two production User Acceptance Tests (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). These tests will occur on Saturday, May 4, 2024, and
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation Electronic Files (AREF)Annual ReportsBlue SheetsCustomer Margin Balance ReportingDerivatives and Other Off-Balance Sheet Items Schedule (OBS)Distribution ManagereFOCUSFINRA Contact SystemFINRA Firm Clearing Arrangements FilingFINRA Rule
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, April 26, 2024. Production systems are unaffected by this event. NTF will become available again for all products starting April 29, 2024. Please contact FINRA Product Management or call (866)
(a) Members Required to Provide Notice
(1) To facilitate trade reporting and dissemination of transactions in TRACE-Eligible Securities and to provide market participants in the Corporate Debt Security markets with reliable and timely new issue reference data to facilitate the trading and settlement of these instruments, a member that is a managing underwriter of a distribution or offering (
Filing Guidance - Public Offering Review
Fast Account Switching allows individuals with multiple firm entitlement accounts to quickly switch between these accounts without re-entering their password. This Fast Account Switching capability saves time for the numerous individuals who work on behalf of more than one organization.
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC
Exchange-traded products (ETPs) including exchange-traded funds (ETFs), exchange-traded notes (ETNs), and commodity and currency ETPs have surged in popularity over the last decade. Risks vary for each product, with some types of ETPs exposing investors to both complexity and significant danger of losses. Volatility-linked ETPs are one such example.
Anyone who follows the stock market knows that some days market indexes and stock prices move up, and other days they move down. This is called volatility. The more dramatic the swings, the higher the level of volatility—and potential risk.
