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FINRA encourages comments on this paper, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption while maintaining investor protection and market integrity. Comments are requested by October 16, 2021.
Member firms and other interested parties can submit their comments using the following methods:
Online using FINRA’s comment form for this Notice
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
View Data
About the Data
Data Sources
TRACE (Trade Reporting and Compliance Engine), the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
The data is grouped into "Total," "ATS” (Alternative Trading System), ”Interdealer" and "Dealer-to-Customer" categories.
The data is published on the third business day
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
The monthly data is published on the third business day following the end of the month.
About TRACE Volume Data
FINRA Dispute Resolution consolidated into a single packet a host of important information and forms that parties need in the arbitration process.
Building Strategies to Build Bridges
For more than a decade, FINRA has hosted the Diversity Leadership Summit, a free event that brings together diversity practitioners and industry leaders to share innovative ideas and effective practices to promote diversity, equity and inclusion in the workplace. Join us this fall to:
learn how DEI intersects with artificial intelligence and other emerging
This Rule applies to all requests to expunge customer dispute information from the CRD system. Except as otherwise provided in this Rule, all provisions of the Code apply to such expungement requests.
(a) Filing an Expungement Request against a Member Firm
(1) Applicability
An associated person may request expungement of customer dispute information from the CRD system by filing a statement of
(a) The Director will not serve any claim that is deficient. The reasons a claim may be deficient include the following:
(1) A Submission Agreement was not filed by each claimant;
(2) The Submission Agreement was not properly signed and dated;
(3) The Submission Agreement does not name all parties named in the claim;
(4) The claim does not specify the customer's city and state at the
(a) The Director may decline to permit the use of the FINRA arbitration forum if the Director determines that, given the purposes of FINRA and the intent of the Code, the subject matter of the dispute is inappropriate, or that accepting the matter would pose a risk to the health or safety of arbitrators, staff, or parties or their representatives. Only the Director may exercise the authority
(a) The panel will decide what evidence to admit. The panel is not required to follow state or federal rules of evidence.
(b) Production of documents in discovery does not create a presumption that the documents are admissible at the hearing. A party may state objections to the introduction of any document as evidence at the hearing to the same extent that any other objection may be raised in