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April 3, 2024
Volume 14

Guidance

Upcoming Deadlines and Effective Dates

Education and Compliance Programs

	FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities. Read the press release.
	Tune in to the latest episode of the FINRA Unscripted podcast to hear from members of FINRA's Complex Investigations and Intelligence Team on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends. Listen here.
	Guidance Newly Published Effective April 27, firms will use an enhanced data entry process to submit certain Financial Notifications to FINRA. Enhancements include the consolidation of several notification forms, two new forms and a new section in FINRA Gateway through which firms will submit their notifications. Read more. Trade Reporting Notice 3/22/24 provides advance notice of future updates to FINRA’s equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities.
	Upcoming Deadlines and Effective Dates Web EFT Retires November 2024 Reminder to firms using the legacy Web EFT service: Effective Nov. 15 all associated XML file upload and download functionality will be completely retired. Current Web EFT subscribers wishing to continue making automated data transfers with FINRA must transition to using the new FINRA API platform. Visit the platform’s Web EFT Sunset page for key milestones and answers to frequently asked questions.
	Education and Compliance Programs Register for FINRA’s upcoming events: FINRA Webinar: Operationalizing Residential Supervisory Location Designations \| April 4 \| 4-5 p.m. ET \| Virtual Event Registration Systems Foundation In-Person Training \| April 16 \| Dallas Registration Systems Foundation Virtual Training \| May 1-2 \| Virtual Event \| Waitlist Available 2024 Annual Conference \| May 14-16 \| Washington, DC \| Hybrid Event FINRA Institute at Georgetown Certified Regulatory and Compliance Professional^® Program \| Washington, DC Week I \| July 14-19 \| Sold Out Week II \| Nov. 17-22 2024 Advertising Regulation Conference \| Sept. 26-27 \| Washington, DC \| Hybrid Event 2024 Small Firm Conference \| Oct. 9-10 \| Chicago \| Hybrid Event Joint Outreach Program \| Nov. 20-21 \| Denver \| Hybrid Event \| Mark Your Calendar—Registration Available Soon

Regulatory Contacts
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