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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
The OATS Rules require member firms to report to FINRA order information for NASDAQ-listed equity securities. Beginning February 4, 2008, the OATS Rules apply to OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our annual
2018 Regulatory and Examination Priorities Letter
BTDS_ATDS_BTDS144A
SPDS_SPDS144A
EOD-ATDS-BTDS-BTDS144A_Sample_File.csv
EOD-SPDS-SPDS144A_Sample_File.csv
Data Access
On February 1, 2018, FINRA will introduce two new TRACE data products: the End-of-Day TRACE Transaction File and the TRACE Security Activity Report.
The End-of-Day TRACE Transaction File
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