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FINRA will replace digital certificates with Multi Factor Authentication (MFA) for Reference data API access. Testing this change is currently available. https://www.finra.org/filing-reporting/technical-notice/api-mfa-testing-050124The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange
(a) Neutral List Selection System
The Neutral List Selection System is a computer system that generates, on a random basis, lists of arbitrators from FINRA's rosters of arbitrators for the selected hearing location for each proceeding. The parties will select their panel through a process of striking and ranking the arbitrators on lists generated by the Neutral List
Effective July 1, 2024, The FINRA Product Management department will be renamed to FINRA Client and System Management (CSM). This change will have no systemic effect for users interfacing with FINRA; only the Product Management departmental name and the email link to reach the group will be modified as described in the table below. All client documentation such as FIX, TRAQS, API, and data
Certain activities of unregistered persons would not be permissible under <i>Notice to Members 88-50</i>.<br />
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
In addition, beginning November 6, 2023, as described in Regulatory Notice 22-27, the requirements for granularity of execution timestamps for TRACE Treasuries transactions will go into effect. FINRA is
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
In addition, beginning November 6, 2023, as described in Regulatory Notice 22-27, the requirements for granularity of execution timestamps for TRACE Treasuries transactions will go into effect. FINRA is
FINRA Vice Chair Luparello Remarks From the FSI Advocacy Summit
<p>A wrap fee program in which a registered representative/investment adviser neither receives transaction fees nor is involved with the execution of securities transactions would be subject to NASD Rule 3030, rather than Rule 3040.<br /></p>