Posted: May 20, 2013
Holiday Reminder Regarding TRACE Market Data
In observation of Memorial Day, the TRACE system will be closed on Monday, May 27, 2013. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of TRACE data via the Bond Trading Dissemination Service (BTDS), Agency Trading Dissemination Service (ATDS) and/or Structured Products Dissemination Service feed(s) should take the necessary precautions to prevent data corruption. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Posted: May 16, 2013
CUSIP Identifiers in TRACE Daily List and Security Scan Functions
FINRA reminds firms that access to CUSIP identifiers in the TRACE Daily List and TRACE Security Scan functions available on the FINRA TRACE secure website is regulated by terms stipulated by CUSIP Global Services.
The TRACE Daily List and TRACE Security Scan functions allow a user to view securities within the TRACE system, and to download the information. Users can filter a request to view a specific subset of securities or can choose to view all securities presently in the system. One of the specific data elements contained in the displayed information is the security CUSIP identifier.
All TRACE users have the ability to view individual CUSIP identifiers in the Security Scan and Daily List functions in TRACE. However, firms who want access to the download (CSV export) capability of CUSIP identifiers through TRACE must have a valid license with CUSIP Global Services. Firms that do not have a valid CUSIP license can export all other information from those screens, except the CUSIP identifier.
FINRA grants permission to firms to download CUSIP identifiers in TRACE based on the information the firm provides to FINRA Market Operations about the status of its CUSIP license. CUSIP licenses are not negotiated with FINRA but directly with CUSIP Global Services.
If you have any questions regarding your TRACE permissions, please contact FINRA Market Operations at (877) 776-0800.
Posted: April 19, 2013
Updated Consolidated Agreement and New Agreement Amendment to Access FINRA Transparency Facilities
FINRA has updated its equities and fixed income transparency services participant agreement and has also created an amendment to the agreement.
The revised FINRA Participation Agreement (FPA) replaces the existing FPA. Firms that currently have an FPA with FINRA must use the amendment to add a new FINRA product, delete an existing product or update their billing information.
Pursuant to the terms of the individual participation agreements, posting of the revised FPA serves as notice of this change. The modified FPA will become effective 90 days after the posting of this notice. Participants will have 30 days after that effective date to opt out of the agreement or will in turn be deemed to have agreed to and accepted the revised FPA.