Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of "new issues" by the Novartis Pension Funds.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
The Financial Industry Regulatory Authority (FINRA) Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Service (ATDS), Securitized Products Dissemination Service (SPDS) feeds and 144A Bond Trade Dissemination Service (144A) are available via a number of extranet providers, and software solutions for feed integration are available through third-party vendors. Additional vendors
TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
The following is the file layout for the historical reproduction of all transactional data reported to TRACE. The file is produced in pipe-delimited format. Each file shall contain a header row that defines the field under each column, as well as an end-of-file trailer consisting of a date/time stamp and total record count (maximum of 10 numeric characters, right justified and zero filled). The
Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
