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Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
This data provides trade activity for asset-backed securities (ABSs) for up to 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not
Year 2000 Countdown
As 1999 winds down, Year 2000 issues will receive increased focus as public attention to these issues increase and companies in virtually every industry accelerate efforts to meet Year 2000 compliance deadlines. During this critical period, the securities industry will heighten its focus on regulatory compliance, investor communication, Year 2000 testing, and contingency
For Your Information
November 1998
Mandatory Testing
On October 5, 1998, the National Association of Securities Dealers, Inc. (NASD®) filed a proposed rule change with the Securities and Exchange Commission (SEC) that would mandate Year 2000 testing for clearing firms, market makers, and government securities firms. The proposed rule also would strongly encourage testing between correspondent clearing firms and
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
We invite you to create an individual account to access Watchlist.CREATE ACCOUNTAlready have an individual account? Login to view your Watchlist.LOGIN Why Create a Watchlist?Create an account to access Watchlist so that you may:Get updated data on fixed income securities of interest to youRetrieve your Watchlist from any device (phone, laptop, etc)Access other FINRA applications, such as Support
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Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the SOES Rules, the maximum SOES order size for a Nasdaq
The Uniform Practice Code (UPC) is a series of rules, interpretations and explanations designed to make uniform, where practicable, custom, practice, usage, and trading technique in the investment banking and securities business, particularly with regards to operational and settlement issues. These can include such matters as trade terms, deliveries, payments, dividends, rights, interest,
I would like to begin by thanking you for taking our comments. I have a few general comments before I attempt to address any of the points raised in your "Background and Discussion" and "Request for Comments" sections. To summarize my position: how is it possible that in an era of rapid trading in which computers execute thousands (or more) trades per second on any given