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
FINRA File Transfer service, (filetransfer.finra.org), experienced technical issues affecting some users intermittently between 7/8/2019 10 PM and 7/9/2019 7 AM. Some connections were going through fine but others were challenged with a new server Host key. If you have any questions, please contact FINRA Helpdesk.
The Technology Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Institutional Securities Activities
Rule 3012
(Supervisory Control System)
Rule 3010 (Supervision)
Supervisory Control Procedures
Written Supervisory Procedures
Executive Summary
On September 30, 2004, the
The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
TO: All NASD Members
Attention: Registration and Trading Departments
Control Data Corporation will be shutting down its PLATO computer system from Saturday, March 3rd, to Sunday, March 11th, to effect major hardware consolidations. To minimize scheduling problems during the period surrounding he shutdown, the NASD is extending the PLATO expiration dates of candidate enrollments expiring the week
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6100.
Executive Summary
NASD Regulation, Inc., as part of its continuing efforts to provide additional locations for computerized delivery of Qualification Examinations and the Regulatory Element of the Continuing Education Program (CEP), has contracted with Sylvan Learning Systems, Inc. (Sylvan), for the management and operation of its test center network. The transition of the current NASD PROCTOR
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
