The Report Center provides firms with secure access to data and reports designed to support their compliance activities.
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities.
Implementation will occur in two parts, starting with the
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
FINRA Committed to Enhancing Diversity of Arbitrator and Mediator Pool; Providing Greater Transparency into Arbitrator Demographic Makeup
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that FINRA’s Office of Dispute Resolution is holding an arbitrator and mediator recruitment event at the Congressional Black Caucus Foundation Annual Legislative Conference in
Step-by-step instructions on accessing and updating FCS information and access to frequently asked questions.
Background information about FINRA Contact System (FCS) and related Notices.
Following is a list of revisions to the TRACE CTCI Technical Specification.
Revised Version 1.8
(published 09/09/02)
Section 3.1 - Re-inserted section explaining agency trade reporting, Give-Up trade reports, and AGU trade reports, which was inadvertently deleted from Version 1.7.
Appendix B - Updated message "!REJ - TEMPORARILY NOT AVAILABLE" to "!REJ - TRACE
The following test script should be completed by all FINRA member firms that will be submitting TRACE trade reports directly to FINRA. If your firm will be using a service bureau to report, or having your clearing firm report on your behalf, you must instead make sure that your service bureau/clearing firm has successfully completed the test. Firms performing the test should submit their
