FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance.
Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, July 18, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
FINRA has resolved the issue affecting the forms filings.
Firms should contact FINRA Market Operations or call 866.776.0800 with questions regarding this issue.
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the
Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing in the FINRA Firm Gateway will incur an error.
Firms should contact FINRA Market Operations or call (866) 776-0800 with questions or for assistance in setting up new issues. FINRA will advise when this issue has been resolved.
