Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
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
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
TRACE for Securitized Products CTCI (v1.2)
This page contains technical information about filing Regulation T, SEC Rule 15c3-3, and FINRA Rule 4210-related extensions requests using the REX system.
On Tuesday, February 8, 2022, from 4 p.m. to 6:30 p.m. ET, the FINRA Test Facility (NTF) will be unavailable for testing FINRA Multi Product Platform (MPP) products.
This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Alternative Display Facility (ADF) platform, and the OTC Reporting Facility (ORF).
FINRA's production systems are unaffected by
Transparency Services Legal Agreements
The FINRA Test Facility (NTF) will be undergoing systemic maintenance and will be unavailable for TRAQS and API reference data users all day on Friday, December 11, 2020.
NTF FIX users and NTF data feed recipients are unaffected by this event. In addition, no production systems are affected by this maintenance.
Please contact FINRA Product Management or call (866) 899-2107
Required information, personal items allowed and test-center provided aids for Pearson VUE and Thomson Prometric test sites.
