In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 2, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface specifications, FINRA may send out
There are optional FinPro features that are controlled by firms through a FINRA Gateway tool called Firm Settings within the Admin section of the platform. Learn more about enabling and using the features in this guide.
Agenda is subject to change.Wednesday, October 910:00 a.m. – 11:30 a.m.Limited Capacity Pre-event Workshop—Registration RequiredCybersecurity Incident Management WorkshopJoin us for a Cybersecurity Incident Management Workshop! As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-
FINRA experienced TRAQS issues on display screens for TRACE Corporate/Agency of prior day transactions only (all other facilities were operating normally). Reporting trades via TRAQS and FIX was not impacted. This display issue has been resolved.
SummaryThe purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.A formal notice of the NAC election and ballot
FinPro now offers two optional features that permit users to collaborate with their firms on a draft Form U4:Allow Rep Edits grants individuals the ability to review and modify a draft, andthe E-Signature feature offers reps the option to sign a completed form electronically rather than with a pen.Firms can enable one or both of these optional tools to streamline the work performed while
Ombuds (o Ombudsman) es un término originario de Suecia y significa representativo. La International Ombuds Association (Asociación Internacional de Ombuds) describe a un ombuds como "alguien que ayuda a individuos y grupos en la resolución de conflictos o preocupaciones".
La Oficina del Ombuds de FINRA es un recurso independiente, neutral y confidencial para cualquier persona que
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an
