The following web service files provide the schema and sample files.
On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
FINRA reminds firms that on Monday, June 16, 2014, specific “covered hybrid securities” will move from the OTC Reporting Facility (ORF) to the Trade Reporting and Compliance Engine (TRACE).
OATS Rules 7440(c)(1) and 7450 require firms to record and report to OATS information related to the transmittal of an order to a department within the member.
Order/Trade Matching Changes for Stop Stock, PRP and ISO Exception Trades
On Monday, September 15, 2014, the OTC Reporting Facility (ORF) is scheduled to migrate to new technology. On this free on demand presentation, FINRA staff: - Video
On Monday, May 5, 2014, FINRA introduced a new tool called the Dashboard that provides information about the status of offerings filed for review in the Public Offering System.
FINRA has updated its ORF Participant and Legal Agreements page to ensure consistency with other FINRA-supported facilities
As previously announced, FINRA will launch a new OTC Reporting Facility (ORF) technology platform for the reporting of transactions in OTC equity securities (i.e., non-NMS stocks) on September 15, 2014
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
