On April 16, 2018, FINRA will be upgrading Axway Secure Transport in the Production (PD) environment from the current version of 5.1 to version 5.3.
FINRA has launched two new TRACE data products: the End-of-day TRACE Transaction File and the TRACE Security Activity Report.
The new End-of-Day TRACE Transaction File is a daily file that includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File will be provided to subscribers after the TRACE system closes at the
Proposed Rule Filing Relating to Simplified Arbitration
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
FINRA reminds firms that the new FINRA/Nasdaq Trade Reporting Facility (the FINRA/Nasdaq TRF Chicago) will commence operation on Monday, September 10, 2018. The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-up trade reporting arrangements, as set
Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds
As part of a technology modernization initiative, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. Details are
Summary
The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a
