For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
This is a reminder that starting Monday, June 3, 2019, FINRA will support the code of "U", (Mortgage Backed ((MBS)) UMBS securities) as an Issuing Agency in the FINRA Securitized Products API MBS RDID Master and MBS RDID Daily List Files. Appendix 8 of the Securitized Products Web API Specification lists this value along with other Issuing Agency values.
Note: This addition does not affect any of the existing formats in the Web API or any of the current TRACE trade reporting requirements.
Connectivity Testing Opens:
Connectivity Testing opens for CAT Large and Small Industry Members that are OATS Reporters
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to make technical and other non-substantive changes within FINRA rules.
Cost: Free
Topics include:
Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.
Production Environment Opens:
The Production Environment opens for CAT Large and Small Industry Members that are OATS Reporters
Test Environment Opens:
The Test Environment opens for CAT Large and Small Industry Members that are OATS Reporters
CAT Registration:
Initial CAT Registration will run from March 18 - June 27, 2019. All current Industry Members with a CAT reporting obligation should register during that window.
