By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
FINRA reminds ORF and TRACE clients that test function partners should be arranged with other street-side firms when needing to conduct trade matching, new trade entries or allege versions of cancels/corrections and reversal transactions in the Nasdaq Test Facility (NTF) region.
FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill is accessible through the FINRA Firm Gateway-a tool that provides centralized access to FINRA regulatory and filing applications.
To conduct securities transactions and business with the investing public in the United States, firms must file Form BD with the U.S. Securities and Exchange Commission, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions. Firms can file full or partial withdrawals of registration by submitting Form BDW (Uniform Request for Broker-Dealer Withdrawal).Applicant
Firms are able to file full or partial withdrawals of registration by submitting Form BDW, the Uniform Request for Broker-Dealer Withdrawal.Partial WithdrawalA partial withdrawal ends registration with one or more specified jurisdictions and/or self-regulatory organizations (SROs), but not with the U.S. Securities and Exchange Commission (SEC). Registration with at least one SRO and jurisdiction
FINRA understands that some firms have experienced issues with certain aspects of TRACE and ORF trade reporting. FINRA is investigating and will update clients as more details are available.
FINRA has resolved the issues with TRACE trade reporting. Firms should review reported activity in TRAQS Trade Management and resubmit any missing activity.
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
Web CRD Quick Reference Guides
