In light of the ongoing challenges presented by the COVID-19 pandemic, FINRA recently launched an online testing service for candidates seeking to take qualification exams remotely.
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
Testimony Before the Committee on Financial Services
FINRA New Issue Form Changes – Live Today
This is a reminder that beginning today, Monday, September 28, 2020, the updated FINRA New Issue Form is live. Users can access the new platform by going to https://newissue.finra.org or via the FINRA New Issue quick link in the FINRA Gateway and logging in with the same log in credentials used to access the retired FINRA New Issue Form.
To
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. On this episode, we hear from four individuals across FINRA about what all market participants need to be thinking about and testing ahead of the transition.
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
<p>Rule 11210(a)(3) does not prohibit a firm from effecting the requirements of the provision electronically, but the firm is responsible for the accuracy and proper functioning of the computer program.</p>
As previously announced, the IntelligentCross ATS (MPID: INCR) intends to become an active quoting participant on FINRA’s Alternative Display Facility (ADF), pending Securities and Exchange Commission (SEC) approval.
FINRA and INCR will participate in the second CTA/UTP production User Acceptance Test on Saturday, February 25, 2023, from 9:30 a.m. to 11 am. ET.
The following symbols will be
Pending Securities and Exchange Commission (SEC) approval, the IntelligentCross ATS (MPID: INCR) intends to become an active quoting participant on FINRA’s Alternative Display Facility (ADF).
FINRA and INCR will participate in a CTA/UTP production User Acceptance Test on Saturday, January 21, 2023, from 9:30 a.m. to 11:00 a.m. ET.
The following symbols will be used for the duration of the test
On Thursday, November 17, 2022, FINRA will conduct an Extraordinary Market Halt (EMC) event in the Test Facility (NTF) for the OTC Reporting Facility (ORF). The EMC will start at approximately 4:15 p.m. ET and run for approximately 10 minutes. During this time ORF trade attempts will be rejected. The system will resume normal operations after the conclusion of the NTF EMC event.
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