Displaying 1 - 10 of 5433 Results
FAQ
… 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
… 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 …
Guidance
… National Market System Plans The Securities and Exchange Commission SEC requires that each participant in an effective National Market System Plan NMS Plan ensure that a current and complete version of the NMS Plan is posted on a central web …
Qualification Exam
… International Test Centers Policies Procedures Test administration procedures at all international locations are for the … 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 Documentation
October 27, 2016
… Test Group Assignments On September 3 2016 firms migrated from the PrePilot Data Security List to the Pilot … for the purposes of data collection all securities on the Pilot Security List with the exception of any test securities that may be included are in the Control Group Securities will be moved into the Test Groups …
Compliance Tools
August 31, 2017
… Small Firm Resources for the Order Audit Trail System OATS Consolidated Audit Trail CAT Frequently Asked Questions View frequently asked questions from small … Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface Notice Posted on 4506 Exemptive Relief from the OATS Recording and …
FAQ
… Frequently Asked Questions FAQ regarding the Order Audit Trail System OATS Following are Frequently Asked Questions regarding the Order Audit Trail System OATS We have removed nonactive content from our Frequently Asked Questions As a result you may notice …
AppSupportDoc
… Test SP Guidelines CTCIFIX Protocols in NTF Subject Information Contact Test registration Firms must register for access to the test system NASDAQ OMX Subscriber Services at 212 2315180 Option 3 Connectivity NASDAQ OMX will provide Host IP Port and connection IDs to firms …
Registration
… Practice Test for the Securities Industry Essentials Exam SIE Test Your SIE Knowledge Get firsthand experience with a free practice test for the Security Industry …
Qualification Exam
October 1, 2016
… Test Center Security Guidelines Personal Items Test center security is of the utmost importance when taking an … the following items are allowed in the testing room subject to inspection Please contact FINRA Candidate Services at 240 3864040 for guidance or preauthorization for any items that are not on the list Permitted …