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Step-by-step instructions on accessing and updating FCS information and access to frequently asked questions.
Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
As previously announced, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
To whom it may concern: FINRA Regulatory Notice #22-08 comment. Why is it that these attempts to regulate retail investors on the investments noted in the notice only seem to occur when the retail investor that is prudent is being rewarded with market returns? Where were the regulators when the Federal Reserve so interfered with the markets as to cause retail investors significant losses for the
Effective Wednesday, September 1, 2021, FINRA OATS Rules were deleted from the FINRA rulebook. See Regulatory Notice 21-21 and OATS retirement notice.
FINRA has updated the Alternative Display Facility (ADF) and Over-the-Counter Reporting Facility (ORF) specifications to accommodate these changes and has renamed fields labeled “OATS” with “Compliance”.
Please contact FINRA Product Management
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the
The FINRA Test Facility (NTF) for ORF has been restored and is now available for use.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Reminder, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE. The master list of U.S. dollar-denominated foreign sovereign debt securities will be available beginning the morning of November 6, 2023 via the TRAQS Security Scan and the TRACE Reference Data
Background information about FINRA Contact System (FCS) and related Notices.