On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A final production User Acceptance Test (UAT) will occur on
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,
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
FINRA member firms have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities to a FINRA facility. The TRACE, ADF and ORF facilities are accessed by completing a FINRA Participation Agreement (FPA). Firms are also able to establish web users of the TRAQS web application by completing the FINRA Order Form.
The Participant Data
CE Online and S101 Personalization
Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange
On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the
