Contact information for OTC Transparency
The following information applies only to service providers that require access to File Transfer Applications on behalf of FINRA member firms.
File Transfer Applications (e.g., Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer, etc.) are used by organizations to send and receive files through FTP.
Except for arbitration awards, which are publicly available, the documents and information in FINRA Dispute Resolution case files are confidential.
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Executive Summary
In December 1997, NASD Regulation, Inc. (NASD RegulationSM) sent a compliance survey (Special Notice to Members 97-96) to find out the status of member firms' Year 2000 efforts. Member firms have the responsibility to determine the readiness of
Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). The purpose of the Anti-Money Laundering (AML) rules is to help detect and report suspicious activity including the predicate offenses to money laundering and terrorist financing, such as securities fraud and market manipulation. FINRA reviews a firm’s compliance with AML rules under FINRA Rule 3310, which sets forth minimum standards for a firm’s written AML compliance program.
Financial institutions have an obligation to safeguard your personal financial information, but you have an important role to play as well. Understanding how customer account takeover incidents and theft of personal financial information might occur and taking steps to minimize your risk can make a difference.
The Cybersecurity and Technology Governance section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
The Observations on Cybersecurity section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
