On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A final production User Acceptance Test (UAT) will occur on
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A second production User Acceptance Test (UAT) will occur on
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Trading and Markets
Debt Securities
Operations
Rule 7000 Series
TRACE Rules
Executive Summary
On March 6, 2007, the Securities and Exchange Commission approved an amendment to Rule 7030 relating to the availability of TRACE
FINRA Market Data Policies for TRACE data vendors/subscribers.
INFORMATIONAL
Anti-Money Laundering Customer Identification Programs for Broker/Dealers
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
Executive Summary
On April 30, 2003, the Department of
Neutral Corner - January 2008
FINRA member firms that use Cisco Secure Firewall Management Center (FMC) Software should be aware of a critical vulnerability that could allow a remote attacker to run malicious code on firm systems with full administrative privileges. This Cybersecurity Alert includes a link to a Cisco Security Advisory describing the vulnerability that includes additional guidance. FINRA recommends that member firms review this information with appropriate information technology and information security personnel.
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
(a) Except as provided in paragraph (b), no member shall, directly or indirectly, give, permit to be given, or offer to give, anything of value to any person for the purpose of influencing or rewarding the action of such person in connection with the publication or circulation in any electronic or other public media, including any investment service or similar publication, Web site, newspaper
