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These monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that a member firm reported to the Trade Reporting and Compliance Engine (TRACE).
This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. (View the data for multiple days simultaneously here.) Learn more about bonds.
The advances,
Ver en españolThis report addresses developments in FINRA’s Office of the Ombuds, our mission and role, how we help constituents, who contacted us in 2022, and topics they raised. This report also includes resources relating to those topics.To better serve our constituents, we offer assistance in both English and Spanish. As part of these efforts, and also to increase overall awareness about
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FINRA’s Cyber and Analytics Unit (CAU) is highlighting an Okta data breach spanning from September 28 to October 17, 2023 that impacts Okta customer support system users. Okta reported that threat actors downloaded names and email addresses, along with other relevant metadata, of their customer support system users. The information could be leveraged in phishing or other social engineering attacks and potentially lead to the targeting of firm personnel in an Okta administrator or customer support role.
This User Support page provides links to help and training resources for users of Web CRD.
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
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 values client testing feedback and encourages participation in this effort to validate that all processes work within clients’ TRACE reporting framework. Testing your current TRACE for Treasuries
With the holiday season upon us and 2023 coming to an end, FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
1. When will the Annual Review be available?The Annual Review period is the first 17 business days of the calendar year. The Annual Review section will be available during that time and until the firm completes it.2. Where can I find the Annual Review submitted by my firm?One of the reports available in the FCS Reports section is the Annual Review Report. This report provides the Contacts and