As part of the migration of TRACE corporate and agency debt trade reporting to the FINRA TRAQS platform on Monday, February 6, 2012, the Secure File Transfer Protocol (SFTP) Interface will no longer support current daily TRACE reference data files for the download of security and other TRACE-related information.
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
2019 Involvement and Election Process Overview
Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
Currently, some ATS firm data is being displayed under multiple names, but for the same MPID. This is due to a mid-reporting period name change. FINRA is currently updating the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. When the fix has been implemented and the historical data has been updated, FINRA will issue another Technical
Neutral Corner - Volume 1—2019
Mission Statement
Discovery Abuses Can Be Costly (By David Carey, Associate Director, FINRA Case Administration)
Parties May Request Additional Information from Arbitrators Participating in Mock Arbitrations
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal Enhancement
Arbitrator and Mediator
FINRA is issuing this OATS Report to describe members' OATS Exchange Route Matching (ERM) obligations when routing to a national securities exchange.
FINRA is migrating the Alternative Display Facility (ADF) to a new technology platform, and has published new FIX protocol specifications for interfacing with the system.
