FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders.FINRA is committed to providing guidance, updates and other information to help stakeholders stay informed about the latest developments. New information will be posted on this page as it becomes available.Operating StatusDue to the COVID-19
<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
FINRA’s Cyber and Analytics Unit (CAU) is highlighting an Okta data breach spanning from September 28 to October 17, 2023 that impacts Okta customer support system users. Okta reported that threat actors downloaded names and email addresses, along with other relevant metadata, of their customer support system users. The information could be leveraged in phishing or other social engineering attacks and potentially lead to the targeting of firm personnel in an Okta administrator or customer support role.
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
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.
Please contact
On Thursday, November 10, 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.
Please contact
On Monday, October 17, 2022, FINRA will conduct a Market Wide Circuit Breaker (MWCB) event in the Test Facility (NTF) for the OTC Reporting Facility (ORF). The MWCB will start at approximately 3 p.m. ET and run for five minutes. During this time ORF trade attempts will be rejected. The system will resume normal operations after the conclusion of the NTF MWCB event.
Please contact FINRA Product
FINRA may at any time authorize the use of the FINRA/NYSE Trade Reporting Facility on a test basis for whatever studies it considers necessary and appropriate.
Renumbered from Rule 6330C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2007-011 eff. April 18, 2007.Selected Notice: 08-57.
