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Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
MARCH 18, 2020
Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. As coronavirus-related risks
The Trade Reporting and Compliance Engine (TRACE) is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities. All broker-dealers who are FINRA member firms have an obligation to report transactions in TRACE-eligible securities under an SEC-approved set of rules.
As part of its Transparency Services improvement initiatives, on December 5, 2022, FINRA will re-platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will include Trade Data Dissemination Service (TDDS) protocol changes, and ORF will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 2, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
Please note for TRACE: If a member executes a
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Due to the AWS US east 1 outage some FINRA applications and support services may be impacted, including the TRACE New Issue form and Market Operations phones lines. In the meantime, please e-mail FINRA Market Operations. FINRA will send an update when more details are known.
Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). The purpose of the Anti-Money Laundering (AML) rules is to help detect and report suspicious activity including the predicate offenses to money laundering and terrorist financing, such as securities fraud and market manipulation. FINRA reviews a firm’s compliance with AML rules under FINRA Rule 3310, which sets forth minimum standards for a firm’s written AML compliance program.