The Treasury Aggregate Statistics provide trading volume in U.S. Treasury securities reported to TRACE for the prior week. The reports have been published since March 2020. On January 3, 2023, FINRA will enhance the reports as follows:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on January 4, 2023 for the week
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
Board Appoints Industry Governors, Discusses FINRA’s Long-Term Financial Planning and Hears Latest From Key Stakeholders
The U.S. Social Security Administration offers a service that enables employers to verify the social security numbers (SSN) of employees. FINRA recommends that its member firms consider using the SSN verification service in connection with the pre-registration or employment process.
The verification process differs depending on the number of names or SSNs your firm wants to check:
Up to 5
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Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
INFORMATIONAL
OATS
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Internal Audit
Legal & Compliance
Operations
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Order Audit Trail System
Executive Summary
NASD Regulation, Inc. (NASDR) is issuing this Notice to
I wish to retain my ability to trade leveraged funds. I understand the risk and stay informed where such funds are involved.
No naked shorts. More frequently posted information on short sales
ACTION REQUIRED
Broker/Dealer And Agent Renewals
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Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
