In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 20, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may
FINRA has resolved the issue with ORF transaction messages delivered via FIX and TRAQS. The issue was caused by a trade processor experiencing systemic disruption, resulting in queueing of transaction reports in certain symbols. All queued messages have been processed, and no further action is needed from firms.
Contact FINRA Market Operations with questions regarding this notice.
FINRA is currently experiencing an issue with ORF transaction messages delivered via FIX and TRAQS. ORF clients should not resend any transactions previously submitted today. FINRA is working on a solution and will update clients as more details are known.
Contact FINRA Market Operations with questions regarding this notice.
FINRA is currently experiencing an issue with ORF transaction messages delivered via FIX. FINRA is working on a solution and will update clients as more details are known.
Contact FINRA Market Operations with questions regarding this notice.
The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of the rules on financial exploitation of specified adults, a regulatory roundtable,
From Monday, February 6, 2023, through Friday, February 24, 2023, the FINRA Test Facility (NTF) for TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed.
The Trade Management window in
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-2 [Reserved]
