On This Page
Getting Started
What You Need
Additional Considerations
Fairness and Impartiality
Confidentiality and Security
Technology Challenges
Preparing for a Virtual Pre-Hearing Conference
Commencing a Virtual Pre-Hearing Conference
Recording a Virtual Pre-Hearing Conference
During a Virtual Pre-Hearing Conference
Participant Etiquette
Technical Support
Effective
This category mapping is provided as a tool to assist member firms in understanding Rule 4111. The terms used in this mapping are defined in Rule 4111, which controls their meaning. This mapping guidance will be updated publicly as needed.
The table below maps the disclosure events that are relevant for Rule 4111 (Restricted Firm Obligations) by category to the Uniform Registration Forms (i.e
On This Page
Getting Started
What You Need
Additional Considerations
Confidentiality and Security
Technology Challenges
Preparing for a Virtual Pre-Hearing Conference
Commencing a Virtual Pre-Hearing Conference
Recording a Virtual Pre-Hearing Conference
During a Virtual Pre-Hearing Conference
Participant Etiquette
Technical Support
Effective Practices
Location and Background
Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to perform the following functions for the TRACE, ORF and ADF facilities:
Submit, view, and amend the FINRA Participation Agreement;
View and modify access to the FINRA trade reporting facilities including, TRACE, ORF and ADF;
View, add, modify, and delete various agreements including the Uniform