Technical NoticeReminder UMBS Issuing Agency
May 09, 2019
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.
CAT Connectivity Testing Opens
Connectivity Testing Opens:
Connectivity Testing opens for CAT Large and Small Industry Members that are OATS Reporters
SR-FINRA-2019-018
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to make technical and other non-substantive changes within FINRA rules.
District Compliance Event: District 7 Event to be held in Atlanta, GA
Cost: Free
Topics include:
- SEC and FINRA Examination and Regulatory Priorities
- FINRA Update: Rules, Initiatives and Observations
- Supervision of High Risk Activities
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.
CAT Production Environment Opens
Production Environment Opens:
The Production Environment opens for CAT Large and Small Industry Members that are OATS Reporters
CAT Test Environment Opens
Test Environment Opens:
The Test Environment opens for CAT Large and Small Industry Members that are OATS Reporters
CAT Registration Deadline
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.
District Compliance Event: District 9B Event to be held in Morristown, NJ
Cost: Free
Topics are TBD.
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.