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In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 24, 2022. Please be advised that the TRFs will close early on Friday, November 25, 2022. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions
In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 24, 2022.
Please be advised that the ADF will close early on Friday, November 25, 2022. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 24, 2022. Please be advised that the TRACE system will close early on Friday, November 25, 2022. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you
Supervision Frequently Asked Questions (FAQ)
FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) grants FINRA staff and adjudicators authority to inspect and copy the books, records and accounts of member firms, associated persons and other persons over whom FINRA has jurisdiction relating to investigations, complaints, examinations or proceedings.
The FINRA test facility (NTF) will be unavailable for testing all FINRA Multi Product Platform (MPP) facilities, on Friday, August 29, 2014.
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
Summary
A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication. The
FINRA senior staff host this one-hour webinar to discuss the Remote Inspections Pilot Program. This session reviews frequently asked questions we’ve received, the open enrollment and opt-out periods, and the data and information requirement for the program.This event is open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's
FINRA’s legacy file transfer service (filetransfer.finra.org) will be shut down on 7/1/2020. By now, all FINRA applications file transfers that were using the legacy service should have migrated to fileX file transfer service. Details about fileX service and user guide can be found on https://www.finra.org/filing-reporting/data-transfer-tools/fileX.
Please contact FINRA Support Center at (800)