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Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all. On this episode, we hear from the heads of all three groups about how they are working together to increase coordination and to ensure integrated oversight, to be able to better anticipate and address risks.
FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023.
The second enrollment period is available to those who terminated their registration between March 15, 2020, and March 14, 2022.
API tests provide quick feedback, resilience against brittleness in tests compared to UI end-end tests, and provide consistent results. The business logic implemented in the server-side as an API does not need to be tested from the UI/presentation layer.
FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS.
Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e., not via TRAQS) needs to migrate to the FIX protocol by Monday, February 3,
The FINRA.org website includes a “System Status” page that reports current system conditions for FINRA-based products and applications.
FINRA will continue to deliver direct emails and post technical notices regarding ADF, ORF, TRACE and TRAQS products; additionally, the System Status page will provide a general view of the current status of all FINRA systems.
FINRA encourages users to bookmark
Posted: 11:25 a.m.
The TRAQS issue preventing users from accessing and using the site has been resolved. TRAQS users should log out of the current session and log back in to reset and have complete functional capabilities. If clients have any questions regarding these events please contact FINRA Market Operations at (866) 776-0800.
Posted: 9:10 a.m.
FINRA has observed a number of TRACE and ORF
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
As a reminder, FINRA is introducing a new system, Participant Data Management (PDM), for FINRA member firms to submit the FINRA Participant Agreement and FINRA Order Form. Starting on December 1, 2021, member firms may test the new PDM system in the customer test environment with the same login credentials used to access the FINRA Participant Agreement or FINRA Order Form today in production. The
From Monday, May 20, 2024, through Friday, May 31, 2024, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed. The