There will be a traffic interruption in fileX SFTP service in QAINT environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
QA-INT: Every Tuesday from 6 p.m to Wednesday 7 p.m until Oct 19, 2022
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
On This PageResponsibilitiesFirm or Identity Provider (IdP)FINRA or Service ProviderIntegration RequirementsCertificate HandlingSupported ProtocolIdP Entity IdEmail DomainAuthentication FlowSAML2 Details SP MetadataNameId FormatBindingsAttributesSP Message Algorithms:GlossaryResponsibilitiesFirm or Identity Provider (IdP)The Identity Provider is responsible for ensuring accurate identification of
There will be a traffic interruption in fileX SFTP service for date and time below. Users can re-establish connection and resume file transfers after the maintenance window.
QA-INT on 7/13/2022 from 11 A.M to 5 P.M.
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
FINRA announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic OATS reporting violations, failure to accurately submit required trade reports, and related supervisory failures.
Becoming a registered person has not been an easy or inexpensive process. In 2018, FINRA’s creation of the Securities Industry Essentials (SIE) exam was a significant step in simplifying the process for an individual to demonstrate basic industry knowledge. The SIE is open anyone over age 18 and, most importantly, association with a member firm is not required. Passing the SIE, however, does not
Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System (OATS) reporting, books and records, and related supervisory violations that occurred over a period of several years.
FINRA uses trade reporting and OATS data as an integral part of its
Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
On March 18, 2013, FINRA will be upgrading Secure Transport in the Production (PD) environment from the current version of 4.9 to version 5.1. These changes will be available in the Certificate Test (CT) environment on February 19, 2013.
