The FINRA Test Facility (NTF) for all TRACE reporting and data feeds has been restored for testing.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Contact information for questions about licensing TRACE data.
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
FINRA is introducing a new system for FINRA member firms to submit the FINRA Participant agreement and FINRA order form. Beginning January 31, 2022, FINRA Member firms will be required to use the Participant Data Management platform to perform the following functions for the TRACE, ORF or ADF facilities:
Submit, view, and amend the FINRA Participation Agreement;
View and modify access to the
Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all. On this episode, we hear from the heads of all three groups about how they are working together to increase coordination and to ensure integrated oversight, to be able to better anticipate and address risks.
The FINRA Test Facility (NTF) is now available for testing all FINRA Multi Product Platform (MPP) products.
Please contact FINRA Operations or call (866) 776-0800 with questions regarding this notice.
The FINRA Test Facility (NTF) for ORF has been restored and is now available for use.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. As announced in August 2018, beginning in early first quarter 2020, FINRA will no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting. Any client, including Service
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
