On March 18, 2013, FINRA will be upgrading Secure Transport in the Production (PD) environment from the current version of 4.9 to version 5.1. These changes will be available in the Certificate Test (CT) environment on February 19, 2013.
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
There will be a traffic interruption in fileX SFTP service in QAINT environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
QA-INT: Every Tuesday from 6 p.m to Wednesday 7 p.m until Oct 19, 2022
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
There will be a traffic interruption in fileX SFTP service for date and time below. Users can re-establish connection and resume file transfers after the maintenance window.
QA-INT on 7/13/2022 from 11 A.M to 5 P.M.
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
The Third-Party Risk Landscape 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.
Every broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934 (SEA) is required to file an annual report as specified under SEA Rule 17a-5(d). Members must submit their annual reports to FINRA in electronic form through FINRA’s Firm Gateway. See below for further information on FINRA Firm Gateway.
Becoming a registered person has not been an easy or inexpensive process. In 2018, FINRA’s creation of the Securities Industry Essentials (SIE) exam was a significant step in simplifying the process for an individual to demonstrate basic industry knowledge. The SIE is open anyone over age 18 and, most importantly, association with a member firm is not required. Passing the SIE, however, does not
The Corporate Financing Department assists FINRA-regulated firms in complying with FINRA rules and federal securities laws by reviewing documents related to firms' capital-raising activities and arrangements. These services provide protections to investors and issuers by regulating underwriting terms and arrangements and addressing conflicts of interest when underwriters are
