Notices

Trade Reporting Notice 3/22/24
Advance Notice: Upcoming Trade Reporting Enhancements for Fractional Share Transactions
Friday, March 22, 2024
Regulatory Notice 20-41
FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
Wednesday, December 02, 2020
Regulatory Notice 19-29
SEC Approves Amendments to Expand Published Data Relating to OTC Equity Trading Volume
Friday, September 13, 2019
Trade Reporting Notice – 7/16/19
Trade Reporting Requirements Applicable to Step-Out Submissions
Tuesday, July 16, 2019
Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Wednesday, September 12, 2018
Regulatory Notice 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Tuesday, September 11, 2018
Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Monday, December 05, 2016
Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Friday, August 26, 2016
Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Wednesday, August 24, 2016
Regulatory Notice 16-14
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Friday, April 22, 2016
Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Wednesday, January 20, 2016
Regulatory Notice 15-51
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Tuesday, December 08, 2015
Regulatory Notice 14-46
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Wednesday, November 12, 2014
Regulatory Notice 14-21
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Thursday, May 15, 2014
Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Friday, July 11, 2014
Trade Reporting Notice - 3/25/13
Reporting Reversals of OTC Trades in Equity Securities
Monday, March 25, 2013
Regulatory Notice 13-19
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Thursday, May 23, 2013
Regulatory Notice 11-40
SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
Monday, August 29, 2011
Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Friday, June 03, 2011
Regulatory Notice 10-24
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Wednesday, April 28, 2010
Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Thursday, August 19, 2010
Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Friday, September 17, 2010
Regulatory Notice 10-07
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Wednesday, January 27, 2010
Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Monday, February 08, 2010
Regulatory Notice 09-21
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Wednesday, April 15, 2009