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Section 1: Purpose of Guide
This User Guide is designed to assist Certification Representatives (CReps) who are responsible for completing their organization’s account certification, which is an annual requirement of the FINRA Entitlement User Account Certification Process. Organizations with CReps are those organizations that do not have a Super Account Administrator (
This is the final reminder for the TRACE Depository Institution Reporting requirement before this initiative commences.
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot
ESSENTIALS
Banks, savings associations and credit unions offer such products as savings and checking accounts, money market deposit accounts and certificates of deposit (CDs).
Deposits at banks and savings associations are protected by the Federal Deposit Insurance Corporation (FDIC); at credit unions, deposits are protected by the National Credit Union Administration.
Bank products are
This proposal will blatantly continue to negatively impact small member firms that do not have neither the current infrastructure, capital or staffing levels to accommodate this significant of a change to their reporting structure. The continued demise in the number of FINRA-registered small firms, which benefits the largest firms with additional greater market share, provides the cover for the
There will be a traffic interruption in fileX SFTP service in QAINT environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
QA-INT: Every Tuesday from 6 p.m to Wednesday 7 p.m until Oct 19, 2022
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
Note, this is an implementation date change.1
Effective Tuesday, August 30, 2022, the FINRA TRACE, ADF and ORF Web API reference data downloads will no longer be accessible using the Transport Layer Security (TLS) 1.1 protocol. FINRA will disable TLS 1.1, and firms using that protocol will not be able to establish connectivity to FINRA’s secure web servers to download the files. To gain access
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
