Beginning Monday, May 19, 2025, FINRA will introduce the MOLD/UDP 64 protocol to the TRACE Securitized Products Data feeds – SPDS and SPDS-144A.TRACE data feed clients must adhere to the new protocol, new IP Addresses and feed changes by this date. FINRA has updated the SPDS and SPDS-144A specifications, IP address configurations and the MOLD/UDP 64
ON THIS PAGE:What's NewWhat is MFA?Frequently Asked QuestionsWhat's NewAs a new or existing user, when setting up multi-factor authentication (MFA), do not select phone call, text message or fingerprint/facial (Windows Hello/Touch ID) as FINRA will not accept these MFA options as of July 25, 2025. Select only a FINRA-compliant MFA option listed below.Effective July 25, 2025, FINRA will
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
Alternative Display Facility Documentation
The process for submitting fingerprints differs for broker-dealers and funding portals. Funding portals should review the EFP Quick Reference Guide for Funding Portals for their fingerprint submission process.Organizations that collect or receive information in connection with fingerprinting personnel, including Criminal History Record Information (CHRI), are responsible for
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
Web EFT is a secure electronic file transfer application that eliminates the need for firms to manually submit online form filings to Web CRD®.
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee (Chair), Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President
Our role is informal in nature. We do not make business or policy decisions for FINRA or participate in formal processes such as disciplinary or personnel actions.
Ver en españolOmbuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”FINRA’s Office of the Ombuds is an independent, neutral, confidential, and informal resource for anyone with questions or concerns about FINRA, which regulates the U.S.
