FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for the following products for client testing all day Friday, November 10, 2023. TRACE Treasuries FIX connectionsTRAQS website for all TRACE products, ORF and ADFProduction systems are unaffected by this event. NTF will become available again for all products starting November 13, 2023. Please contact
The FINRA test facility (NTF) will be unavailable for testing all FINRA Multi Product Platform (MPP) facilities, on Thursday, December 11, 2014, at approximately 4 p.m. Eastern Time.
The FINRA Test Facility (NTF) for all TRACE reporting and data feeds is currently unavailable for testing. FINRA will notify clients when NTF is back online.
TRACE Production systems are unaffected.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing all day June 26 and June 27, 2023.
Production systems are unaffected by this event. NTF will become available again starting June 28, 2023.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework.FINRA will sponsor a production User Acceptance Test (UAT) on Saturday,
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework. FINRA will sponsor the second production User Acceptance Test (UAT) on
On Tuesday, August 3, 2021 from 2 p.m. to 6:30 p.m. ET, the FINRA Test Facility (NTF) will be unavailable for testing FINRA Multi Product Platform (MPP) products.
This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Alternative Display Facility (ADF) platform, and the OTC Reporting Facility (ORF).
FINRA's production systems are unaffected by this event
(a) Each member shall designate and specifically identify to FINRA one or more principals who shall establish, maintain, and enforce a system of supervisory control policies and procedures that:
(1) test and verify that the member's supervisory procedures are reasonably designed with respect to the activities of the member and its associated persons, to achieve compliance with
