401(k) and Other Employer-Sponsored PlansEmployer-sponsored retirement plans are just that: retirement plans offered by an employer to help its employees save for retirement. Plans are named for the section of the tax code where they’re described. Most are salary-deferral plans, meaning a plan in which the employee designates a portion of their salary to be deducted and put into the retirement
There will be a traffic interruption in fileX service in PROD environment for the duration below. Users can re-establish connection and resume file transfers after the maintenance window.PROD: Saturday June 22, 2024 from 10:00 am a.m to 1:00 p.mContact FINRA Support Center at (800) 321-6273, or by email, if you have any questions.
In observance of Independence Day, the ORF System will be closed on Friday, July 3, 2020. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of the Trade Data Dissemination Service 2.0 (TDDS 2.0) and Bulletin Board Dissemination Service (BBDS) feed(s) should take the
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re-platform the FINRA OTC Reporting Facility (ORF) to a new Linux-based operating system.1 This update is in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
ORF currently supports timestamps up to milliseconds. Effective December 5, 2022, ORF
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.
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
Summary
In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
Title III of the Jumpstart Our Business Startups (JOBS) Act, enacted in 2012, contains key provisions relating to securities offered or sold through crowdfunding.
This page provides information and resources for crowdfunding intermediaries that, pursuant to Title III of the JOBS Act, the SEC's Regulation Crowdfunding and FINRA's rules for funding portals, register with the SEC as
Beginning Monday, July 24, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps). FINRA will offer testing for the new bandwidth rate and will announce details for the test as the date approaches.
TDDS 2.1 subscribers are encouraged to plan to ensure their systems
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
Participation in NASDAQ's Automated Confirmation Transaction (ACT) Service, which has been approved by the
