In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, July 4, 2024. Please be advised that the TRFs will close early on Wednesday, July 3, 2024. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.NYSE
In observation of Independence Day, the ORF System will be closed on Thursday, July 4, 2024. Please be advised that the ORF system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions. Market SessionNormal
Data Feed/FTP Access Transaction Information5 Real-TimeDelayed1FINRA Real-Time Data Feed$1,500Not AvailableRe-Transmission Vendor Feed$1,500No ChargeData Display Transaction Information Real-TimeDelayed (not available directly from FINRA)Professional User$60No ChargeEnterprise License2$7,500No ChargePersonal, Non-Commercial Use3No ChargeNo ChargeEnhanced Historic TRACE Data4
In observation of Independence Day, the TRACE system will be closed on Thursday, July 4, 2024. Please be advised that the TRACE system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA encourages client testing participation in this effort to validate that all processes work within the TRACE reporting framework.As part of this migration FINRA will introduce a new protocol to
June 28 marks the 55-year anniversary of the six-day riot that took place at the Stonewall Inn, a coveted watering hole for the gay community in the Greenwich Village neighborhood of New York City.
Three FINRA rules form a regulatory scheme addressing the supervision of firms and their associated persons.FINRA Rule 3110 (Supervision)FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.The rule details
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
Prohibited Independent Research in the Age of Artificial Intelligence: Don’t Do It, by Jennifer LaMont, Regional Manager, FINRA Southeast Region and other news.
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FINRA may grant waivers, in exceptional cases, or exemptions for
