(a) The Director will serve the Claim Notification Letter on an associated person directly at the person's residential address or usual place of abode. If service cannot be completed at the person's residential address or usual place of abode, the Director will serve the Claim Notification Letter on the associated person at the person's business address.
(b) If a member and a
(a) The Director will serve the Claim Notification Letter on an associated person directly at the person's residential address or usual place of abode. If service cannot be completed at the person's residential address or usual place of abode, the Director will serve the Claim Notification Letter on the associated person at the person's business address.
(b) If a member and a
The following information applies only to service providers that require access to File Transfer Applications on behalf of FINRA member firms.
(a) MethodsThe following methods of service are permitted except as provided in paragraph (c) in proceedings before the Office of Hearing Officers:(1) Personal ServicePersonal service may be accomplished by handing a copy of the papers to the person required to be served; leaving a copy at the person's office with an employee or other person in charge thereof; or leaving a copy at the person
In observation of Independence Day, the ORF System will be closed on Friday, July 4, 2025.
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Friday, July 4, 2025.
In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Friday, July 4, 2025.
In observation of Independence Day, the TRACE system will be closed on Friday, July 4, 2025.
FINRA has amended the schedule for the TDDS 2.0 data feed bandwidth increase. Beginning Monday, December 3, 2018, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.0 (TDDS 2.0) vendor feed from 800 kilobits per second (kbps) to 2,500 kilobits per second (kbps). This bandwidth adjustment was previously scheduled to take place on October 22, 2018.
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