FINRA plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023.
Currently, FIX Tag 60 (Transact Time) timestamps support up to microsecond precision (Format: YYYYMMDD-HH:MM:SS.sss.mmm); however FIX acknowledgement messages consist of only millisecond precision (Format: YYYYMMDD-HH:MM:SS.sss). The TRACE for Treasury Securities FIX Specification includes the
In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue.
There will be a traffic interruption in fileX service in CT and PROD environment for duration below. Users can re-establish connection and resume file transfers after the maintenance window.
CT and PROD: Thursday April 27, 2023 from 8 p.m to 10 p.m
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
FINRA is advising member firms that the Options Clearing Corporation has issued the March 2023 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The March 2023 ODD contains new language to (i) accommodate cash-settled flexibly structured options on certain fund shares that meet specified criteria as defined in
The FINRA Test Facility (NTF) for all TRACE reporting and data feeds has been restored for testing.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
The FINRA Test Facility (NTF) for all TRACE reporting and data feeds is currently unavailable for testing. FINRA will notify clients when NTF is back online.
TRACE Production systems are unaffected.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
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
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and certain
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2023; and
a summary of how eligible individuals can become
Parties may not file letters or emails with the Office of Hearing Officers. All filings must be in the form of a pleading.
Parties must file all pleadings as separate, individual documents. Each pleading must include the caption of the case and a certificate of service as part of the pleading. Parties should not attach notices of filing or other documents as part of the same pleading, unless
