There will be a traffic interruption in fileX service in CT and PROD environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Thursday April 27, 2023 from 8 p.m to 10 p.m
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
There will be a traffic interruption in fileX service in CT and PROD environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Tuesday January 31, 2023 from 7 p.m to 8 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
Per FINRA Rule 1220, individuals are required to pass an appropriate exam or receive a waiver to qualify for a registration category. After passing an exam, the individual must obtain approved status in a corresponding registration category within two years (four years for the SIE) of the exam date to maintain its validity. If an individual does not obtain an approved registration within the two
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.
The Cybersecurity and Technology Management topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
The Books and Records 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.
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.
I have been enrolled in my own investments for quite some time and I don't want that to change.
