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FINRA will replace digital certificates with Multi Factor Authentication (MFA) for Reference data API access. Testing this change is currently available. https://www.finra.org/filing-reporting/technical-notice/api-mfa-testing-050124The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange
Listing of ORF-related forms and documentation
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
Find attorneys and law clinics skilled in arbitration and mediation. Connect with legal experts committed to resolving financial disputes at FINRA.
Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called “virtual currencies,” “coins,” and “tokens.” A particular crypto asset may or may not meet definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
The Broker Comment Process enables eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in BrokerCheck.
On this page you will find information on eligibility, the Broker Comment Request Form and instructions on how to submit a comment.
Who Can Submit a Broker Comment?
An individual who currently is not registered, but for
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
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