Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of September 22, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter September 21,
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the new SEC rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure that were adopted on July 26, 2023. The SEC adopted final rules requiring disclosure of material cybersecurity incidents on Form 8-K and periodic disclosure of a registrant’s cybersecurity risk management, strategy and governance in annual reports.
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
Geetha Ramachandran has spent her entire career working in the technology industry, and she’s passionate about innovation and finding solutions to complex problems. At FINRA, she leads teams in building and delivering enterprise solutions with a focus on automation and development operations. In part one of the three-part series, Tech Journeys: Women in Technology & the Evolution of the Industry, Geetha gives us a snapshot of her personal technology journey and how she’s kept up with innovations.
FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023.
The second enrollment period is available to those who terminated their registration between March 15, 2020, and March 14, 2022.
Firms that pursue public cloud technologies generally can pursue three different models depending on their needs: Infrastructure as a Service (IaaS), Platform as a Service (PaaS) and Software as a Service (SaaS). Each type entails a different level of service provided by the cloud service provider:16
Infrastructure as a Service (IaaS): IaaS refers to a self-service model for accessing basic IT
This Rule applies to all requests to expunge customer dispute information from the CRD system. Except as otherwise provided in this Rule, all provisions of the Code apply to such expungement requests.
(a) Filing an Expungement Request against a Member Firm
(1) Applicability
An associated person may request expungement of customer dispute information from the CRD system by filing a statement of
