FINRA has observed a number of ORF clients experiencing problems submitting transactions to TRAQS. Users are presented with an error related to the connection attempt.
FIX trade reporting is unaffected by this issue. FINRA is currently researching the problem and will provide an update when it is known.
TRAQS clients with questions regarding this issue should contact FINRA Market Operations at
One in Five Investors Started Investing Recently
Younger Investors More Comfortable with Risky Investments
One Third of Investors Open to Cryptocurrencies
WASHINGTON—A substantial proportion of investors joined the market relatively recently, younger investors are more likely to engage in riskier investment behaviors and a third of investors are considering investing in
FINRA and NASAA are bringing securities regulators together for a joint virtual conference dedicated to training state securities examiners on conducting broker-dealer exams. This collaborative, two-day event focuses on strategies and solutions to help examiners strengthen their skills.
Since Monday, December 5, 2022, FINRA had experienced an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversed and thus caused duplicate settlement messages and incorrect settlement amounts for those transactions.
FINRA has resolved this issue and the software fix will be in production starting Thursday, December 8, 2022. Beginning December 8, ORF
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury securities reported to TRACE for the prior week. The reports have been published since March 2020. On January 3, 2023, FINRA will enhance the reports as follows:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on January 4, 2023 for the week ending December
Since Monday, December 5, 2022, FINRA is experiencing an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversed and thus causing duplicate settlement messages and incorrect settlement amounts for those transactions.
In the interim, until FINRA resolves the issue, FINRA requests ORF clients work with their clearing firms to send the necessary
Since Monday, December 5, 2022, FINRA is experiencing an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversals and thus causing duplicate settlement messages and incorrect settlement amounts for those transactions.
In the interim, until FINRA resolves the issue, FINRA requests ORF clients work with their clearing firms to send the necessary
Since Monday, December 5, 2022, FINRA is experiencing an issue with ORF clearing messages for transactions that are cancelled, corrected or broken and thus causing duplicates settlement for those transactions. FINRA is working on a solution and will update clients as more details are known.
Clients should work with their clearing firm to submit reversals directly to NSCC for the duplicate
REMA brings together the Office of the Chief Economist and the Office of Financial Innovation
WASHINGTON—FINRA announced today that it has promoted Jonathan Sokobin to Executive Vice President and Head of the newly created Office of Regulatory Economics and Market Analysis (REMA).
Sokobin, previously Senior Vice President and Chief Economist, will remain Chief Economist and a member of FINRA’s
