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Beginning Monday, July 8, 2024, FINRA will utilize Multi Factor Authentication (MFA) for access to all production API reference data files. Currently, FINRA API users wishing to get access are required to download a digital certificate and present verified user id and password credentials. To access the API via MFA, users will need to be entitled to use the product, have an assigned user name (
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC
On January 14, 2020, FINRA issued a Technical Notice regarding the 100 record limit for the FINRA API Platform, which provides access to FINRA’s OTC Transparency Data. As stated in that Notice, on January 15, 2020, FINRA temporarily increased the limit to 100,000 records to accommodate firms’ API implementations.
Beginning April 6, 2020, FINRA will enforce new API record and payload size limits
We/I oppose this FINRA Notice #22-08. I speak for 5 individual investors.
Sufficient notices and restrictions are in place. It is completely inappropriate to restrict further.
We do not want your proposed regulations in Notice #22008.
Impact: All Firms
Firms without dedicated information security professionals may wish to review this information with any vendors who provide those services to the firm.
As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
These guidelines supersede prior editions of the FINRA Sanction Guidelines, whether published in a booklet or discussed in FINRA Regulatory Notices (formerly NASD Notices to Members). These guidelines are effective as of the date of publication, and apply to all disciplinary matters, including pending matters. FINRA may, from time to time, amend these guidelines and announce the amendments in
These guidelines supersede prior editions of the FINRA Sanction Guidelines, whether published in a booklet or discussed in FINRA Regulatory Notices (formerly NASD Notices to Members). These guidelines are effective as of the date of publication, and apply to all disciplinary matters, including pending matters. FINRA may, from time to time, amend these guidelines and announce the amendments in
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing all day June 26 and June 27, 2023.
Production systems are unaffected by this event. NTF will become available again starting June 28, 2023.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.