SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
FINRA’s legacy file transfer service (filetransfer.finra.org) will be shut down on 7/1/2020. By now, all FINRA applications file transfers that were using the legacy service should have migrated to fileX file transfer service. Details about fileX service and user guide can be found on https://www.finra.org/filing-reporting/data-transfer-tools/fileX.
Please contact FINRA Support Center at (800)
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
1. What is the preferred order for completing the program?It is recommended to complete Week I before taking Week II because the second week’s curriculum builds on the first week, but there is no requirement to take the program in this order.2. Does the program need to be completed within a specified timeframe?Coursework must be completed within two consecutive calendar years, but you can
To enhance the security of participant accounts, beginning Monday, June 23, 2025, FINRA will employ a session timeout control on the TRAQS production website. 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. TRAQS clients may begin testing this new feature in the test facility (NTF) beginning
In observation of Independence Day, the ORF System will be closed on Tuesday, July 4, 2023. Please be advised that the ORF system will close early on Monday, July 3, 2023. 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 Session
Normal
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Tuesday, July 4, 2023. Please be advised that the TRFs will close early on Monday, July 3, 2023. 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 TRF
In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Tuesday, July 4, 2023.
Please be advised that the ADF will close early on Monday, July 3, 2023. 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 TRACE system will be closed on Tuesday, July 4, 2023. Please be advised that the TRACE system will close early on Monday, July 3, 2023. 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) 776-0800 if you
