Currently, FINRA API users wishing to get access for TRACE, ADF, ORF, and TRF Reference Data are required to download a digital certificate and present verified user id and password credentials to access the API. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the API.FINRA will replace digital certificates with
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
INFORMATIONALUniform Submission AgreementsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementArbitrationSanctionsUniform Submission AgreementsExecutive SummaryNASD's Code of Arbitration Procedure (Code) requires respondents in NASD arbitrations to serve an answer and an executed Uniform Submission Agreement (USA) at the time the answer to the Statement of Claim is due.
February 10, 2004NASD is publishing this article to provide guidance to member firms on supervisory responsibilities when using another entity to transmit OATS data on the firm's behalf. If a firm utilizes another member or non-member entity ("Reporting Agent") to record and transmit OATS data on its behalf, the member firm is still required to have written supervisory procedures
As part of its efforts to combat abusive market timing in mutual funds, the SEC intends to propose a mandatory redemption fee on short-term trades. On November 17, 2003, the SEC requested that NASD convene a working group of industry experts to consider how this initiative may be affected by the use of mutual fund omnibus accounts. This memorandum summarizes the views expressed by members of the
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The Books and Records topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
August 28, 2002This article is being issued to remind firms of specific reporting obligations under the OATS Rules and the OATS Reporting Technical Specifications. Please take some time to review your code and operations to ensure the following obligations are being met.
Use the Rejected ROE Resubmit Flag when Repairing Rejects
Firms must set the Rejected ROE Resubmit Flag to "Y
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That’s why FINRA worked to update Rule 4512 and implement Rule 2165 to help broker-dealer firms and their representatives protect their senior and other vulnerable adult customers. On this episode, we learn more.
