Impact: All Firms
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain names “@finrarps.org” or “@finrarps.net”. The domains of “finrarps.org” and “finrarps.net” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they
Please be advised, due to an issue with when-issued trading in Cash Management Bills, FINRA re-generated the daily treasury aggregate files for the following dates: 2/13, 2/14 and 2/23. Additionally, the monthly file for the month of February has been updated.
All the updates are available via www.finra.org/treasuryaggregates
For any questions regarding this data, please contact TRACE
FINRA experienced an issue this morning, April 3, with the processing of Monthly OTC Transparency Data, thereby causing a publication delay of ATS and Non-ATS Block data and downloads for the month of February 2023 on the OTC Transparency Data website. The issue was resolved and all files and data were published on the website.
If you have any questions, please contact ATS Support.
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds,
Summary
To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), FINRA issued Regulatory Notice 22-21, which alerted member firms about how bad actors effect fraudulent transfers of customer assets using ACATS (referred to as ACATS fraud). That Notice listed several existing regulatory obligations that
Currently, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and Securitized Products was modified to limit trade retention to five rolling business days.
During this time the NTF Trade Management Window allowed users to search and view trades reported to TRACE within the past rolling five business days (T-5) instead of the standard rolling T-20 business day period.
Beginning
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible Corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
