Effective 09/30/2020 FINRA will disable support for Transport Layer Security (TLS) protocol versions 1.0 and 1.1 for all web applications/API connections. Firms using older clients/browsers that do not support TLS version 1.2 and above will not be able to establish connectivity with FINRA web applications/APIs.
To
FINRA is experiencing an issue this morning with the display of Weekly OTC Transparency Data for the week of August 17, 2020 (Tier 1) on the OTC Transparency Data website. However, the data is available via the API. The issue is currently being investigated and a subsequent notice will be published once the data is available on the website.
If you have any questions, please contact ATS Support.
Beginning Wednesday, September 30, 2020, the FINRA OTCE (otce.finra.org) and OTC Transparency Data (otctransparency.finra.org) websites will support only TLS version 1.2 encryption standards. This change is being made to improve website security by enforcing TLS 1.2 or higher encryption for all data in transit.
Users that try to access either the OTCE or the OTC Transparency Data
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the New Issue Form today.
To find more information about the changes and to access
FINRA has updated the FINRA Transparency Services Uniform Executing Broker Agreement, which allows a member firm to report trades on behalf of another member firm to a FINRA facility.
The Agreement has been renamed the “FINRA Transparency Services Uniform Reporting Agreement” and updated to define the FINRA member authorized to report on behalf on another member as the “Reporting Participant” (
FINRA’s Virtual Artificial Intelligence (AI) Conference and FinTech Office Hours occurred on November 9 and November 10, respectively. The Virtual AI Conference was a half day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. Register to view the sessions.
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of September 14th, 2020 (Tier 1) on the OTC Transparency Data website. The issue has now been resolved and all data has been published on the website.
If you have any questions, please contact ATS Support.
As a not-for-profit membership organization, FINRA is committed to openness and engagement with our member firms regarding our financial plans. In that spirit, we are writing to update you on FINRA’s current financial situation and our path forward for funding FINRA’s mission of protecting investors and promoting market integrity while facilitating vibrant capital markets. As we have stated in several prior financial reports and communications, this path forward must eventually include an increase in member fees.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 2, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 1,
