On June 2, 2014, the OTC Reporting Facility (ORF) is scheduled to migrate to new technology.
This free, 90-minute online training session focused on the features and functionality of the TRAQS website for TRACE reporting. It introduced users-especially staff with limited exposure to TRACE-to TRAQS and how the functionality can be utilized for TRACE reporting and management of reported transactions.
On Demand presentations from TRACE
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
This free, 90-minute online training session focused on the features and functionality of the TRAQS website for TRACE reporting. It introduced users—especially staff with limited exposure to TRACE—to TRAQS and how the functionality can be utilized for TRACE reporting and management of reported transactions.
Contact information for OTC Transparency
System status for OTC Transparency
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock
Comment Period Expires April 24, 1995
SUGGESTED ROUTING
Senior Management
Government Securities
Institutional
Legal & Compliance
Trading
Executive Summary
The Department of the Treasury (Treasury) recently issued an Advance Notice of Proposed Rulemaking (ANPR) under the Government Securities Act of 1986 (GSA). Treasury intends to implement rules to require persons
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Training
Executive Summary
The NASD is alerting its members that customer agreements used by some members contain predispute arbitration provisions that are contrary to Article III, Section 21 of the NASD Rules of Fair Practice and/or the NASD Code of Arbitration Procedure. Members are urged to take prompt steps to
