Beginning Monday, September 30, 2024, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files. To access the API via MFA, users will need to be entitled to use the product, have an assigned user name (Email address) and password, answer security questions and enroll in one or more additional authentication methods. To gain access, users are
FINRA Enforcement works on the front lines of investor protection.
Beginning Monday, September 9, 2024, FINRA will introduce the MOLD.UDP 64 protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A.
The Neutral Corner – Volume 3—2024Mission StatementPro Se Parties: Tips for an Effective Hearing by Khoi Dang-Vu, Associate Regional Director, FINRA Midwest Regional Office and Dontay Phillips, Former FINRA InternFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
Las personas solo pueden solicitar nuestra ayuda si están al tanto de la existencia de la Oficina del Ombuds. Es por eso que nos esforzamos por aumentar nuestro alcance entre aquellos que se hayan dirigido a nosotros con preguntas o inquietudes - inversionistas, la industria de corredores de bolsa, el personal de FINRA, y cualquier otra parte interesada de FINRA. En 2023, nuestro alcance incluyó
Ver en españolOnly when people are aware of the Office of the Ombuds can they seek our assistance. This is why we strive to increase our outreach to our constituents—investors, the broker-dealer industry, FINRA staff, and any other FINRA stakeholders. In 2023, our outreach included meeting with investor representatives; participating in investor, industry, and employee events; and enhancing our
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
