Due to the AWS US east 1 outage some FINRA applications and support services may be impacted, including the TRACE New Issue form and Market Operations phones lines. In the meantime, please e-mail FINRA Market Operations. FINRA will send an update when more details are known.
As previously communicated, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files.The test period for this project will continue through Friday, January 10, 2025, and the use of digital certificates will continue to be supported through this date so clients can successfully migrate. FINRA encourages API clients to test their MFA process in the
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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
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.
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
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
Whether you’re a military veteran or transitioning service member exploring new opportunities or a military spouse seeking a flexible career, the financial services industry offers many job paths. Get a head start today by taking the Security Industry Essentials® (SIE®) Exam.
This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts such as
As part of its Transparency Services improvement initiatives FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will include Trade Data Dissemination Service (TDDS) protocol changes, and ORF will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting
