Eligible individuals enroll in FINRA’s Maintaining Qualifications Program (MQP), the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for Broker-Dealer Agents (AG EVEP), or NASAA's EVEP for Investment Adviser Representatives (IAR EVEP) via FinPro. Learn more about accessing FinPro and view a selection of user guides detailing how to enroll in the
Posted: March 26, 2020
The latest edition of the OATS Reporting Technical Specifications dated March 26, 2020 is now available.
This edition includes updates related to the onboarding of the Long-Term Stock Exchange. The changes will be effective in the OATS Certificate Test Environment on April 24, 2020 and in the OATS Production Environment on May 15, 2020.
In addition, FINRA’s Guidance on
Firms to Pay $1.4 Million in Restitution to Approximately 100 Affected Customers
WASHINGTON—FINRA announced today that Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) have agreed to pay more than $1.4 million in restitution, plus interest, to approximately 100 customers and fines totaling $675,000 for failing to supervise recommendations that
Firms Failed to Reasonably Supervise 529 Plan Share-Class Recommendations Made to Customers; Matters Identified Prior to FINRA Initiative Launched in January
WASHINGTON — FINRA announced today that Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Raymond James & Associates, Inc. (RJA), and Raymond James Financial Services, Inc. (RJFS) have agreed to pay a total
As previously announced FINRA delayed the implementation of the bandwidth increase rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed. The bandwidth is scheduled to increase from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps).
The new date for this implementation is now Monday, August 14, 2023.
Testing
FINRA will test the new bandwidth rate on
FINRA Foundation and First Nations Development Institute Publish In-Depth Analysis of Financial Capability of Native Americans
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) and First Nations Development Institute (First Nations) today published the nation’s most comprehensive analysis of the financial capability of American Indian/Alaska Natives, including the financial
WASHNGTON - The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that it has censured and fined New York-based Trillium Brokerage Services, LLC, $1 million for using an illicit high frequency trading strategy and related supervisory failures.
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Executive Summary
A revised edition of the OATS
