FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.
Various state statutes provide for speedy trials in civil actions involving seniors or seriously ill parties. FINRA recognized a need for expedited hearings in arbitrations involving such parties in its dispute resolution forum.
12 p.m. ET:The FINRA Test Facility (NTF) is now available for testing. TRAQS users will be able to view all history data except for any transactions that were sent in this morning between 8:00 a.m. and 10:30 a.m. ET for TRACE CA and SP. All other products will display the full transaction history. Please contact FINRA Product Management or call (866)
The Neutral Corner – Volume 4—2023
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
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
