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As a reminder, FINRA will often conduct internal production region testing of its TRACE, ORF, ADF and TRF systems on Saturdays without the participation of firms. Clients are advised to only bring up their applications and connect to FINRA on Saturdays if they will be participating in testing.
Clients who connect to FINRA in the production region on Saturdays when FINRA internal testing is
FINRA is committed to working with the CAT NMS Plan Participants, the Securities and Exchange Commission and the securities industry to ensure an efficient and effective implementation of the Consolidated Audit Trail.
About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage
As previously communicated effective Monday, April 19, 2021, FINRA will replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website and will also institute system infrastructure changes for TRAQS and the API reference data software. Beginning April 19, 2021, all TRAQS users will be required to use MFA to gain access to TRAQS and will be denied access to
Beginning Monday, July 24, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
Testing
FINRA will test the new bandwidth rate on Saturday June 10, 2023, from 9:30 a.m. to 12:00 p.m. ET and Saturday July 8, 2023, from 9:30 a.m. to 12:00 p.m. ET. The TDDS 2.1
User Guide for Enrolling Individuals for the Securities Industry Essentials (SIE) Exam (Non-Form U4)
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The Securities Industry EssentialsSM (SIESM or Essentials) Exam, available beginning October 1, 2018, is a FINRA exam for prospective securities industry professionals. Any individual age 18 or older is permitted to take the SIE exam without the need for a
Form U4 - Uniform Application for Securities Industry Registration or Transfer
filing.This user guide is
Firms that pursue public cloud technologies generally can pursue three different models depending on their needs: Infrastructure as a Service (IaaS), Platform as a Service (PaaS) and Software as a Service (SaaS). Each type entails a different level of service provided by the cloud service provider:16
Infrastructure as a Service (IaaS): IaaS refers to a self-service model for accessing basic IT
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable Unit Investment Trust (UIT), Closed-End Fund (CEF) and mutual fund transactions.
FINRA applications and support services appear to be operating normally. This includes the TRACE New Issue form and Market Operations phones lines. FINRA will continue to monitor its systems and support services and will send additional updates as necessary.