The following charges shall be paid by participants for use of the FINRA/Nasdaq Trade Reporting Facility. In the case of trades where the same market participant is on both sides of a trade report, applicable fees assessed on a "per side" basis will be assessed once, rather than twice, and the market participant will be assessed applicable Trade Report Fees as the Executing Party side
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
Please do not proceed with SEC Proposed Rule #S7-24-15. I am a long standing private investor and have used leveraged funds to enhance returns on my investment portfolio. I have a good understanding of the risks involved in leveraged and inverse funds, how they can be used to hedge my portfolio or to provide leveraged returns on the underlying securities, and request that you do not restrict my
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
FINRA announced today that it has sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 million, including over $1 million in restitution to retail customers enrolled in fully paid securities lending programs and fines of $1.6 million for the firms’ related supervisory and advertising violations.
FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to take prompt steps to obtain physical possession or control of municipal security positions that are short more than 30 calendar days, and related supervisory failures.
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
The file is produced in pipe-delimited format. Each file shall contain a header row that defines the field under each column, as well as an end-of-file trailer consisting of a date/time stamp and total record count (maximum of 10 numeric characters, right justified and zero filled). The filename identifies the date the trades were reported (YYYY-MM-DD).The file is produced in two versions: one
In observance of Memorial Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, May 27, 2024. 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 send out
