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If your firm is undergoing a change in organization due to a merger, acquisition, or succession, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider when undergoing such a change.
ORF Forms and Documentation - Web API Archive
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
On Monday, June 1, 2015, FINRA will implement changes that affect TRACE reporting requirements, TRACE data feeds and TRACE reference data.
Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule
FINRA has updated its ORF Participant and Legal Agreements page to ensure consistency with other FINRA-supported facilities
FINRA Releases 2014 Regulatory and Exam Priorities
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make one type of files available: Daily Short Sale Volume Files.