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In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for the following products for client testing all day Friday, November 10, 2023. TRACE Treasuries FIX connectionsTRAQS website for all TRACE products, ORF and ADFProduction systems are unaffected by this event. NTF will become available again for all products starting November 13, 2023. Please contact
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
The FINRA.org website includes a “System Status” page that reports current system conditions for FINRA-based products and applications.
FINRA will continue to deliver direct emails and post technical notices regarding ADF, ORF, TRACE and TRAQS products; additionally, the System Status page will provide a general view of the current status of all FINRA systems.
FINRA encourages users to bookmark
FINRA Regulators,
I take the time to write to you today in order to protest against the proposed regulations outlined in Regulatory Notice #22-08.
It is not the government's place to tell me what investments I can and cannot make. As an investor, it is my responsibility to understand the products I am purchasing.
I see this as a clear and blatant attempt at limiting the "retail
Sec. 13.1 These By-Laws may be altered, amended, or repealed, or new By-Laws may be adopted, at any meeting of the stockholder, provided that, in the case of a special meeting, notice that an amendment is to be considered and acted upon shall be inserted in the notice or waiver of notice of said meeting.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
FINRA ("FINRA") respects the intellectual property rights of others and expects its users to do the same. In accordance with the Digital Millennium Copyright Act of 1998, the text of which may be found on the U.S. Copyright Office website at http://www.copyright.gov/legislation/dmca.pdf, FINRA will respond expeditiously to claims of copyright infringement committed using the FINRA
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination, as outlined in a Technical Notice from December 10, 2015.
(a) Call for Review
(1) Rule 9268 Decision
A decision issued pursuant to Rule 9268 may be subject to a call for review by any member of the National Adjudicatory Council or, pursuant to authority delegated from the National Adjudicatory Council, by any member of the Review Subcommittee. A decision issued pursuant to Rule 9268 shall be subject to a call for review within 45 days after the date
Beginning June 1, 2020, as described in Regulatory Notice 19-30 members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction [that meets the FINRA Rule 6710 definition of “List or Fixed Offering Price Transaction” or “Takedown Transaction”] with an appropriate identifier. The Sale Condition 2 Identifier, available via the TRAQS secure web browser
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of March 22, 2024.