FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.The trading information is derived directly from OTC trades that ATSs/
FINRA previously issued a notice regarding API Reference Data production access. This process will now occur beginning Monday, July 15, 2024.Beginning Monday, July 15, 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
Please do not proceed with SEC Proposed Rule #S7-24-15. I am a long standing private investor and have used leveraged funds to enhance returns on my investment portfolio. I have a good understanding of the risks involved in leveraged and inverse funds, how they can be used to hedge my portfolio or to provide leveraged returns on the underlying securities, and request that you do not restrict my
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
This webinar highlights FINRA Rule 6151 and provides a demonstration of the Rule 606(a) report submission process, a discussion of the rollout plan and credentialing, and a Q&A segment. The PowerPoint deck to the webinar can be found here.
Charter of the Audit Committee of the Board of Governors of Financial Industry Regulatory Authority, Inc. (“FINRA”)
Timothy Thompson is Senior Vice President, Enterprise & Financial Solutions. More specifically, Mr. Thompson serves as the Head of FINRA’s Enterprise Risk Management (ERM) Team. ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key business objectives. The program
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, June 14, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting June 17, 2024.Please contact FINRA Product Management or call (866) 899-2107 with questions
