GUIDANCEDeletion of Obsolete RulesEffective Date: August 10, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementObsolete RulesRule 3400 SeriesExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of an amendment to delete as obsolete IM-2210-4(b) (Certification of Membership) and Rule
Summary
FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data
The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
401(k) and Other Employer-Sponsored PlansEmployer-sponsored retirement plans are just that: retirement plans offered by an employer to help its employees save for retirement. Plans are named for the section of the tax code where they’re described. Most are salary-deferral plans, meaning a plan in which the employee designates a portion of their salary to be deducted and put into the retirement
On Tuesday February 11, 2020, and Wednesday, February 12, 2020, the FINRA Test Facility (NTF) will be unavailable for clients who test using the CTCI-MQ.protocol. This affects FINRA's Trade Reporting and Compliance Engine (TRACE) and the OTC Reporting Facility (ORF).
FIX and CTCI-TCP/IP protocols in the NTF region as well as all production systems are unaffected by this
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In this NASD Notice to Members you will find information on Nasdaq® adding an additional pilot phase to its decimal conversion schedule. A
As previously communicated, beginning Monday, January 13, 2025, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files. This is the final reminder clients will receive regarding this change.Beginning on January 13, 2025, FINRA will no longer support the use of digital certificates to access the Reference data API and only MFA access will be
FINRA Registration Systems Foundation Virtual Training Schedule & How to Register
