DTCC to Provide FINRA Access to Participant Position Reports

FINRA and the Depository Trust & Clearing Corporation (DTCC) are establishing a program that will provide FINRA staff with routine and direct access to position reports and similar information that DTCC (and its subsidiaries and affiliates) provides to its participants. While FINRA currently has access to this information from its firms, FINRA believes direct access from DTCC will provide more timely information with greater efficiency.

Questions regarding this Notice should be directed to Anand Ramtahal, Senior Vice President, Risk Oversight & Operational Regulation, at (646) 315-8565 or by email; or your firm’s FINRA Regulatory Coordinator.