FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/NYSE Trade Reporting Facility may receive from the FINRA/NYSE Trade Reporting Facility transaction credits based on the transactions attributed to them. A transaction is attributed to a
(a) For purposes of applying any provision of the Rule 7600A Series that reflects a charge assessed, or credit provided, by the FINRA/Nasdaq Trade Reporting Facility, a member may request that the FINRA/Nasdaq Trade Reporting Facility aggregate its activity with the activity of its affiliates.
(1) A member requesting aggregation of affiliate activity shall be required to certify to the FINRA/
FINRA is a self-regulatory organization for member broker-dealers that is responsible under federal law for supervising our member firms. Transparency is critical to our work and ensuring trust and confidence in the markets. The statistics below represent just some of the work we do to carry out our mission. The data present just part of the overall picture. The number of formal
The Web CRD Form BD Timeliness Report Card is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to applicant member and/or affiliate(s). This report displays a firm's performance in submitting certain BD amendment filings in the required time frame.
The information in this
Audit active user accounts at within your organization using the Account Details Report in FINRA Gateway Reports. The Account Details Report contains details on the account profile and entitlements assigned to people within your organization. The report is available to organization Super Account Administrators (SAA) and Account Administrators (AA).
Open the Account Details Template
To get
The Commodity Futures Modernization Act of 2000 ("CFMA") lifted the ban on the trading of security futures, i.e., single stock and narrow-based stock index futures ("security futures"). Because they are subject to regulation both as securities and as futures contracts, security futures must be traded on trading facilities and through intermediaries that are registered with
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Executive Summary
The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
When reporting to OATS, Reporting Members are required to provide a "Received Method Code" on order events including New Order Reports (NW), Cancel/Replace Reports (CR), Combined Order/Execution Reports (OE), and Combined Order/Route Reports (OR).
Some of the key responsibilities of an SAA are to ensure that access is appropriate and required as well as remove access for users who no longer need it—either because of changes in job duties or termination with the firm.
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:
Monday, December 26, 2022 Closed
Monday, January 2, 2023 &
