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The FINRA Test Facility (NTF) for the OTC Reporting Facility (ORF) will be unavailable for testing all day Friday August 5, 2022, Thursday, August 11, 2022, and Friday, August 12, 2022. All other FINRA services, including TRACE and the ADF will be available for testing during this timeframe. The ORF test facility will conduct normal operations on August 8-10 and again beginning on August 15, 2022
As the world’s largest securities self-regulatory organization, NASD has been helping to bring integrity to the markets and confidence to investors for more than 60 years.
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will occur on
In March, Stephanie Dumont became the new Executive Vice President of FINRA’s Market Regulation and Transparency Services department. On this episode, we sit down with Stephanie to hear her priorities, her vision for the department, and how FINRA is responding to recent market events.
Small Firm Resources for OATS
Web API/User Guide Specifications and Production Test Scripts Archive
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
Download the newly-published specifications for the data collection requirements of the Tick Pilot NMS Plan.
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.