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
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 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
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
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
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
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
Release DateSystemAreaDescriptionDecember 14, 2024FINRA GatewayIndividual ProfilesTwo new statuses will be added for Investment Adviser Representatives (IAR) CE along with a tooltip under Summary section.Not Applicable Status: Green Color Termed Status: Red Color Firm and SRO Due Dates: Summary Section: A new due date will be added for Current Regulatory Element CE in Summary Section named “Firm
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. Testing your current TRACE for Treasuries processes and trade report validations are strongly recommended.
