Trade Reporting Notice - 8/14/08

Trade Reporting Frequently Asked Questions

Published Date:

FINRA is issuing this Notice to announce publication on its Web site of Trade Reporting Frequently Asked Questions (FAQ), which provide guidance for firms on reporting over-the-counter (OTC) transactions in equity securities to a FINRA Facility (i.e., a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)). The Trade Reporting FAQ can be found at www.finra.org/tradereportingfaq.

Questions regarding this Notice may be directed to:

  • Dave Chapman,Market Regulation, at (240) 386-4995;
  • Mark Dorsey,Market Regulation, at (240) 386-6163; 
  • the Office of General Counsel, at (202) 728-8071; or 
  • FINRA Operations, at (866) 776-0800.