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As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA will implement this change on Monday, March 11, 2024; previously it was scheduled for February 26, 2024. Clients may continue to test in NTF through Friday, March 8, 2024.NTF: Available through Friday, March 8,
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework.
In order to perform system maintenance for TRACE for Treasuries, the FINRA Test Facility (NTF) will be unavailable for Treasuries testing for the balance of the day on Monday, January 29, 2024. This affects TRACE Treasuries FIX connections and TRAQS only. No other product in NTF is impacted by this. In addition, production systems are unaffected by this event. NTF for TRACE for
Even if you have never been subjected to an investment fraudster’s sales pitch, you probably know someone who has. Following the legendary Willie Sutton principle, fraudsters tend to go "where the money is"—and that means targeting older Americans who are nearing or already in retirement.Financial fraudsters tend to go after people who are college-educated, optimistic and self-reliant.
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Staff in FINRA’s Regulatory Review and Disclosure unit must review and approve all proposed names for firms applying for FINRA membership and for current FINRA member firms seeking a name change. A firm may reserve a name by submitting a completed Firm Name Reservation Request Form.Note: FINRA does not research names for use as Doing Business As (DBA) in states, and the Firm Name
