Your First Step to a Career in the Securities IndustryOn This PageOverviewEnrollment OptionsContent OutlineBenefitsAfter You Pass the SIESIE Reimbursement for Military VeteransOverviewThe Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry
This Written Supervisory Procedures Checklist (“WSP Checklist”) outlines selected key topics as a reference tool to assist funding portal members (“FP members”) in fulfilling their compliance obligations.
OverviewThe following tool identifies key cybersecurity risks currently facing small firms and helps them enhance their customer information protection, and cybersecurity written supervisory programs (WSPs) and related controls, including:Highlighting the most common and recent categories of cybersecurity threats facing small firms, including questions to assist firms with addressing such threats
There will be a traffic interruption in fileX service in PROD environment for the duration below. Users can re-establish connection and resume file transfers after the maintenance window.PROD: Saturday June 22, 2024 from 10:00 am a.m to 1:00 p.mContact FINRA Support Center at (800) 321-6273, or by email, if you have any questions.
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
Effective July 1, 2024, The FINRA Product Management department will be renamed to FINRA Client and System Management (CSM). This change will have no systemic effect for users interfacing with FINRA; only the Product Management departmental name and the email link to reach the group will be modified as described in the table below. All client documentation such as FIX, TRAQS, API, and data
Beginning Monday, July 8, 2024, FINRA will utilize Multi Factor Authentication (MFA) for access to all production API reference data files. Currently, FINRA API users wishing to get access are required to download a digital certificate and present verified user id and password credentials. To access the API via MFA, users will need to be entitled to use the product, have an assigned user name (
Following is a schedule of voluntary orientations offered via webinar.
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
FINRA's educational materials highlight news, regulatory updates and other compliance topics. You can find advertising-related education using the following links.E-Learning CoursesFINRA e-learning courses offer an affordable solution for Firm Element, advertising regulation and other training needs. Firms trust FINRA's e-learning library for firm-wide training on rules and regulations
