On March 2, 2015, FINRA will be upgrading the File Transmission encryption protocol in the OATS Production (PD) environment and will no longer support the use of the SSLv3 encryption protocol.
These changes will take effect in the OATS Certificate Test (CT) environment on February 16, 2015.
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
ORF Migration Task Checklist
(6/16/14, PDF 188 KB)
OTC Reporting Facility Migration: Frequently Asked Questions
(6/16/14, PDF 438 KB)
ORF Testing Guidelines
(3/26/14, PDF 301 KB)
ORF Migration Overview of Functional Changes
(2/10/14, PDF 126 KB
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
FINRA has replaced the Automated Data Delivery System (ADDS) OTC Reporting Facility Trade Journals (v1.3) document with the FINRA ADDS User Guide v5.0.
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
FINRA is reminding firms that the requirement for each ATS to acquire and use a single, unique MPID when reporting information to FINRA will become effective on February 2, 2015.
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
