7660B. FINRA/NYSE Trade Reporting Facility Fees for Non-Participants

FINRA members that are not FINRA/NYSE Trade Reporting Facility participants will be charged a monthly fee of $1,000 for read-only access to the NYSE TRF Portal, Drop Copy, and End of Day Journal.
For purposes of this Rule, “NYSE TRF Portal” is a web-based interface provided by the FINRA/NYSE Trade Reporting Facility that allows FINRA members that are not FINRA/NYSE Trade Reporting Facility participants to see trade reports identifying them as a party to the transaction; “Drop Copy” is a service provided by the FINRA/NYSE Trade Re

SR-FINRA-2026-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) for trade reporting but elect to purchase specified services.

2021069391001 TPEG Securities, LLC CRD 146726 AWC lp.pdf

Between September 2018 and May 2024, TPEG distributed certain communications with the public that included projected investment performance and violated FINRA Rules 2210(d) and 2010. During the same period, TPEG violated FINRA Rules 4530, 3110 and 2010, and Article V, Section 2(c) of FINRA’s By-Laws, by failing to report certain customer complaints and by failing to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with its customer complaint reporting obligations. For these violations, TPEG is censured and fined $1
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