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FAQ
Frequently Asked Questions about the Test Enrollment Services System (TESS)™
… … Frequently Asked Questions about the Test Enrollment Services System TESS™ Account Creation 1 I am a new user and need to request an enrollment How do I log into …
Rule
7510. System Services
… … a Trade Reporting and Comparison The following charges shall be paid by ADF participants for use of the System Transaction Related Charges   Comparison $0014side per 100 shares minimum 400 shares maximum 7500 … journal files associated with its market participant identifier MPID FINRA offers two optional FINRA ADDS services ADF Reporting Facility Data Delivery and ADF Reporting Facility Data Delivery Secure File Transfer …
Qualification Exam
International Test Centers Policies & Procedures
… … /rules-guidance/rulebooks/industry/international-test-centers-policies-procedures … International Test Centers Policies Procedures Test administration … Broker Dealer Registration or independently by a participant affiliated with a nonFINRA entity via the Test Enrollment Services System TESS TM Firms must file a Form U4 through Web CRD or participants must enroll through TESS …
Technical Notice
FINRA Production Test
February 26, 2021
… filingreportingtracefinraproductiontest … /filing-reporting/trace/finra-production-test … Technical Notice … FINRA Production Test … February 26 2021 As previously announced  FINRA plans to replace digital certificates with Multi Factor …
Technical Notice
FINRA Production Test
April 1, 2021
… filingreportingtracefinraproductiontest040121 … /filing-reporting/trace/finra-production-test-040121 … Technical Notice … FINRA Production Test … April 01 2021 As previously announced  FINRA plans to replace digital certificates with Multi Factor …
Technical Notice
FINRA Production Test
March 12, 2021
… filingreportingtracefinraproductiontest031221 … /filing-reporting/trace/finra-production-test-031221 … Technical Notice … FINRA Production Test … March 12 2021 As previously announced  FINRA plans to replace digital certificates with Multi Factor …
Guidance
National Market System Plans
… rulesguidanceguidancenationalmarketsystemplans … /rules-guidance/guidance/national-market-system-plans … National Market System Plans The Securities and Exchange Commission SEC requires that each … by the Options Clearing Corporation, the Plan Processor. http://www.optionsclearing.com/clearing/industry-services/isra.jsp Consolidated Tape Association Plan/Consolidated Quotation Plan (CTA/CQ Plans) The CTA/CQ …
Article
Online Test Delivery FAQ
July 13, 2020
… … /registration-exams-ce/qualification-exam/online-test-delivery-faqs … Online Test Delivery FAQ 1 Which exams are available for testing online Online test delivery is available to candidates with open enrollment windows for the following exams Securities Industry Essentials SIE Series 3 Series 6 Series 7 … all of your household internet connections are competing for bandwidth including online gaming streaming services etc You are encouraged to limit household internet usage during your test session Additional …
Technical Documentation
CRD System AG Qualification Requirements
… … /registration-exams-ce/classic-crd/ag-qualification-requirements … CRD System AG Qualification Requirements FINRA is currently working with NASAA to update the guidance on this page … AG qualifications requirements. Thank you for your patience. … Central Registration Depository (CRD) … CRD System AG Qualification Requirements … appsupportdoc … Technical Documentation … CRD System AG Qualification …
AppSupportDoc
How to Use the REX System
… /filing-reporting/regulation-t-and-sec-rule-15c3-3-extension-request-filing-technical-information-reg-trex-system … How to Use the REX System Related Link Details Regulatory Extension REX System File Transfer Service Migration to fileX Customer Test CT Environment REX This page contains technical information about filing Regulation T SEC Rule 15c33 and …