In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, July 4, 2024. Please be advised that the ADF will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, July 4, 2024. Please be advised that the TRFs will close early on Wednesday, July 3, 2024. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.NYSE
In observation of Independence Day, the ORF System will be closed on Thursday, July 4, 2024. Please be advised that the ORF system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions. Market SessionNormal
In observation of Independence Day, the TRACE system will be closed on Thursday, July 4, 2024. Please be advised that the TRACE system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
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.
Testing
FINRA
(a) Each member or its agent that is a participant in a registered clearing agency, for purposes of clearing over-the-counter securities transactions, shall participate in fail reconfirmation and pricing services when offered.
(b)(1) A contract submitted to a reconfirmation and repricing service ("service") which has been DK'd ("Don't Know") by the contra-party or
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
FINRA will employ a change that will enhance the security of participant TRAQS accounts. FINRA will use a session timeout control on the TRAQS production website, and TRAQS clients will be logged out after 60 minutes of inactivity. A five-minute warning message will be displayed to clients prior to the logout occurring. This change, originally scheduled to be in effect on Monday, June 23
Conflicts of interest represent a recurring challenge that contributes to compliance and supervisory breakdowns. These breakdowns can compromise the quality of service that firms and representatives provide to their clients. We issued the Report on Conflicts of Interest in October 2013, and FINRA continues to monitor the efforts employed by firms to identify, mitigate
