Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. Subject to SEC approval, beginning in early first quarter 2020, FINRA would no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting. Any client, including Service
Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface (“CTCI”) as a Technological Option for TRACE Reporting
The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
Following are FAQs about the Securities Industry Essentials® (SIE®) Exam and exam restructuring. Click on the links below to view all sections of the FAQs.
On This Page
Enrollment and Eligibility
Exam Scoring, Results and Validity
Registration
Retired Exams
Enrollment and Eligibility
1. How old do I have to be to take the SIE?
You must be 18 years or older to take the SIE.
2. Do I have
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).
ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
SEC Regulation ATS
SEC
Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
Update to Security Futures Risk Disclosure Statement and Supplement
