FINRA has updated the TRACE Web API Specifications for Securitized Products, and TRACE Web API Specifications for Treasury Securities.
Please see a list of changes in each documents’ revisions section.
Contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
The FINRA Test Facility (NTF) will be unavailable all day Monday, May 15, 2023. NTF availability will resume on May 16, 2023.
Production systems are unaffected by this event.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Payment Method: Wire
Beneficiary Bank:
Bank Of America
Beneficiary Bank Address:
100 West 33rd Street, New York, NY 10001
Beneficiary Name:
FINRA
Beneficiary Account Number:
226005684771
Wire ABA Number:
026009593
Foreign Payment Code:
BOFAUS3N (This code may be required for firms to send funds from a foreign or
In accordance with its regulatory responsibilities pursuant to Regulation NMS, FINRA is issuing a pre-quotation notice1 to advise that it plans to certify a new participant to begin using FINRA’s Alternative Display Facility (ADF) for quotation and trading of CTA and UTP listed securities on or after Monday, March 27, 2023, subject to regulatory approval and related announcements.
Once certified
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
FINRA has been made aware of an issue with clients reporting ORF cross trades via FIX. FINRA is aware of the issue and will institute a solution starting Tuesday, January 24, 2023. Cross trades entered via TRAQS are unaffected by this issue.
Contact FINRA Market Operations with questions regarding this notice.
During the span of employment, it’s not uncommon for two situations to arise with respect to retirement savings: the potential need to borrow from your retirement account, and a change in employer that raises the question of whether to roll your assets into a new plan or an IRA.
Loans
If you need cash, you might be tempted to borrow from your employer-sponsored plan rather than applying to a
FINRA:
Save-the-Max Calculator
Required Minimum Distribution Calculator
Annual Contribution Limits
Investor Insights: 5 Tips for Automatic Retirement Plan Investing
Investor Insights: The Beginner’s Guide to 401(k)s
Department of Labor:
A Look at 401(k) Fees
What You Should Know About Your Retirement Plan
IRS:
Retirement Plans
SEC:
Employment to
