FINRA offers the Free Trial program to all TRACE Vendors who sign the
TRACE Free Trial Addendum
. Participating Vendors must adhere to the below requirements:
Vendors must maintain their own trial agreement/contract with the prospective client.
The Free Trial of TRACE Data must be run at the same time as a free trial of the vendors' system/interrogation device
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
Securitized Capped Volume Report , published the first business day of each month.
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Securitized Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternate Trading System), Interdealer, and Dealer-to-Dealer categories. The monthly data is published on the third business day following the end of the month.
Rulemaking topics discussed include:
investor use of BrokerCheck information and
research rules.
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). As part of this review, TEU is requesting the following information.
The FINRA Board of Governors will consider the following rulemaking items at its September 2012 meeting.
FINRA is reviewing how firms identify and manage conflicts of interest. As part of this review, we would like to meet with executive business and compliance staff of your firm to discuss the firm’s approach to conflict identification and mitigation.
Rulemaking topics discussed include:
application of proposed markup rules to government securities, classification of mediators under dispute resolution by-laws, debt research conflicts of interest, minor rule violation plan, records to be kept at specially designated locations, release of disciplinary complaints, decisions and other information, reporting requirements, and TRACE factor reporting.
