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As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA will implement this change on Monday, March 11, 2024; previously it was scheduled for February 26, 2024. Clients may continue to test in NTF through Friday, March 8, 2024.NTF: Available through Friday, March 8,
Trading on securities exchanges and alternative trading systems (ATSs) has evolved to the point that these venues now execute electronically the vast majority of their volume. This increased automation of trading and the popularity of sponsored or direct access arrangements where broker-dealers allow customers to trade in those markets using the broker-dealers' market participant identifiers
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules & Notices
FINRA Rule 4311
Regulatory
SUGGESTED ROUTING
Senior Management
Corporate Finance
Syndicate
Executive Summary
On June 2, 1997, The Depository Trust Company (DTC) will launch its Initial Public Offering (IPO) Tracking System. Starting June 2, managing underwriters should be aware that for securities to be eligible for listing on The Nasdaq Stock Market, Inc., they must be "depository eligible" under NASD®
HiveQLUnit is a library of JUnit extensions for unit testing Hive scripts. In this tutorial we will explore how to create test cases for Hive scripts and then show how to implement those test cases using HiveQLUnit.
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
As a reminder, effective today, FINRA has replaced digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website. All TRAQS users are now required to use MFA credentials to gain access to TRAQS and will be denied access to TRAQS if they have not converted.
The URL to access TRAQS is https://www.finratraqs.org
FINRA has produced a dedicated TRAQS Multi Factor
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
OATSRule 6950 Series
Executive Summary
Given the recent significant increase in Order Audit Trail System (OATS) volume, NASD is implementing several changes to the OATS reporting requirements for
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements