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On January 14, 2020, FINRA issued a Technical Notice regarding the 100 record limit for the FINRA API Platform, which provides access to FINRA’s OTC Transparency Data. As stated in that Notice, on January 15, 2020, FINRA temporarily increased the limit to 100,000 records to accommodate firms’ API implementations.
Beginning April 6, 2020, FINRA will enforce new API record and payload size limits
The FINRA Test Facility (NTF) will be unavailable all day Monday, May 15, 2023. NTF availability will resume on May 16, 2023.
Production systems are unaffected by this event.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
From Monday, March 20, 2023, through Friday, March 31, 2023, the FINRA Test Facility (NTF) for TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed.
The Trade Management window in FINRA
FINRA has updated the TRACE Web API Specifications for Securitized Products, and TRACE Web API Specifications for Treasury Securities.
Please see a list of changes in each documents’ revisions section.
Contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
This Notice describes the protocol by which FINRA will announce the effective dates of the new FINRA rules that are being adopted as part of the consolidated rulebook (Consolidated FINRA Rulebook).
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. FINRA has published several notices to remind firms to use PDM to review their TRAQS users. As a final reminder, firms are
On January 14, 2020, FINRA issued a Technical Notice regarding the 100 record limit for the FINRA API Platform, which provides access to FINRA’s OTC Transparency Data. As stated in that Notice, on January 15, 2020, FINRA temporarily increased the limit to 100,000 records to accommodate firms’ API implementations.
Beginning April 6, 2020, FINRA will enforce new API record and payload size limits
I am strongly against this special rule:Regulatory Notice #22-08.
Beginning Monday, July 8, 2024, FINRA will utilize Multi Factor Authentication (MFA) for access to all production API reference data files. Currently, FINRA API users wishing to get access are required to download a digital certificate and present verified user id and password credentials. To access the API via MFA, users will need to be entitled to use the product, have an assigned user name (