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
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
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.
Important Reg T Extension Request System Announcement
Many firms that file extensions via batch processing have been experiencing a large number of 'REJECTED' extensions with the following error message; "Original Extension Request not found. Secondary request rejected".
FINRA Automated Data Delivery System® (FINRA ADDS®) is a secure website through which firms may request trade journals containing transactions submitted to FINRA TRAQS. FINRA also offers additional access to End-of-Day Transaction files for TRACE and the monthly TRACE Security Activity Report via ADDS.Log In to FINRA ADDSRequest Access to FINRA ADDS web or SFTP services.User GuideFINRA ADDS User
Firms can file communications for review via Advertising Regulation Electronic Files (AREF), an online application. In addition, firms can use AREF to view, print and save the department’s review letters. <a class="btn" href="/">test</a>
12 p.m. ET:The FINRA Test Facility (NTF) is now available for testing. TRAQS users will be able to view all history data except for any transactions that were sent in this morning between 8:00 a.m. and 10:30 a.m. ET for TRACE CA and SP. All other products will display the full transaction history. Please contact FINRA Product Management or call (866)
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
