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FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 25, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 24, 2021
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 7, 2020. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.
Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraph (a)(2). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other extraordinary
As announced in the April 28, 2020 notice, “Introduction to Transparency Services Initiatives and Webpage”, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform. The new platform will be available with the same log in credentials used to access the FINRA New Form today and is expected to go live on Monday, September 28, 2020
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re-platform the FINRA OTC Reporting Facility (ORF) to a new Linux-based operating system.1 This update is in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
ORF currently supports timestamps up to milliseconds. Effective December 5, 2022, ORF
FINRA previously announced plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023. In order to align this change with FINRA Regulatory Notice 22-27, which specifies timestamp granularity, the change for TRACE for Treasuries FIX receipt messages, including acknowledgments, will now go into effect on Monday, November 6, 2023.
Currently, the TRACE for
(a) GeneralExcept as otherwise provided by paragraph (b) of this Rule, each general securities member shall, with a frequency of not less than once every calendar quarter, send a statement of account ("account statement") containing a description of any securities positions, money balances, or account activity to each customer whose account had a security position, money balance, or
