As an individual investor, there are several ways in which you can hold securities, including through direct registration. Direct registration allows you to have your securities registered in your name—rather than in the name of a brokerage firm—without the need for a physical certificate.
Firms must register any person engaged in the securities business of the firm by filing the appropriate registration application online through the Central Registration Depository (CRD) Program to become registered with FINRA, the appropriate jurisdictions and/or self-regulatory organizations.
Optional Form U4 E-Signature and CE Notification Features Available in FINRA Gateway
Effective
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A FINRA production User Acceptance Test (UAT) will occur on Saturday, March 6, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please include
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A final FINRA production User Acceptance Test (UAT) will occur on Saturday, April 10, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A second FINRA production User Acceptance Test (UAT) will occur on Saturday, March 20, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected]. Please
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On January 16, FINRA convened its first ever RegTech Conference in New York City. Regulators, academics and innovators came together to discuss how technology is creating a new landscape for compliance efforts in financial services. New opportunities are quickly becoming available for industry participants and new challenges are arising for regulators. Issues like machine learning,
On September 3, 2016, firms migrated from the Pre-Pilot Data Security List to the Pilot Security List. During the month of September, for the purposes of data collection, all securities on the Pilot Security List (with the exception of any test securities that may be included) are in the Control Group. Securities will be moved into the Test Groups, as appropriate, once the Pilot begins on
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and by-laws. Designated firm contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our member firms.
1. Which exams can I take online without meeting additional requirements?
Online test delivery is available to candidates with open enrollment windows for the Securities Industry Essentials (SIE) exam. For all other exams, please review the Schedule an Exam page for instructions.
2. What are the criteria to take exams other than the SIE online?
Effective June 9, 2023, the criteria to take NFA
