Background
On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting today March 10, the new TRACE Treasury aggregates are published on FINRA's website.
Aggregated Reports
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury
Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
In light of the recent outbreak of coronavirus disease (COVID-19), FINRA continues to review its pandemic and business continuity plans to ensure continuous operation of FINRA’s facilities for the reporting of OTC transactions in equity and fixed income securities (i.e., the Alternative Display Facility (ADF), the OTC Reporting Facility (ORF), the Trade Reporting and Compliance Engine (TRACE) and
This is the final reminder that beginning Monday, March 16, 2020, FINRA will no longer support the reporting of transactions to its TRACE and OTC Reporting Facility (ORF) products via the CTCI protocol.
Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e. not via TRAQS) must migrate to the FIX protocol by Monday,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
Monthly Disciplinary Actions June 2019
Monthly Disciplinary Actions April 2019
This is a reminder that starting Monday, June 3, 2019, FINRA will support the code of "U", (Mortgage Backed ((MBS)) UMBS securities) as an Issuing Agency in the FINRA Securitized Products API MBS RDID Master and MBS RDID Daily List Files. Appendix 8 of the Securitized Products Web API Specification lists this value along with other Issuing Agency values.
Note: This addition does not
If you are not a FINRA Regulatory Filing Applications Account Administrator:
Contact your firm's Regulation Filing Applications Account Administrator, and request that the Administrator add the Customer Margin Balance Form entitlement to your FINRA user account.
If you do not have a FINRA user account, your firm’s Regulation Filing Applications Account Administrator can create one for you
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rules 6110 and 6610 to expand the summary firm data relating to over-the-counter (“OTC”) equity trading that FINRA publishes on its website.
