TRACE System Status
November 5, 2009 - 3:13 p.m. ET
Please be advised that the reporting issue concerning TRACE trades submitted via CTCI has been resolved.
If your firm has access to the TRACE Web browser, we recommend that you use the Trade Scan and Trade Reject Scan functions to ensure all trades made by your firm have been accepted. For trades that were not accepted, you may use the TRACE Web browser to report those trades.
We apologize for any inconvenience.
Please contact FINRA Operations at (866) 776-0800 if you have any questions.
November 5, 2009 - 11:30 p.m. ET
Firms that submit trades to TRACE via CTCI may be experiencing reporting problems. Trade reports are being accepted in CTCI but are not being acknowledged.
If your firm has access to the TRACE Web browser, you should use the Trade Scan and Trade Reject Scan functions to ensure your trades have been accepted. For trades that are not accepted, you may use the TRACE Web browser to report those trades.
Firms that normally report trades using TRACE Web or through the DTCC RTTM system are not affected by this reporting issue.
We will advise when the issue has been resolved. We apologize for any inconvenience.
Please contact FINRA Operations at (866) 776-0800 if you have any questions.
September 28, 2009 - 3:00 p.m. ET
Please be advised that the TRACE system experienced issues receiving trade reports submitted via the NSCC RTTM Interface between 12:16pm ET and 2:47pm ET today. The issue has been resolved, and we are again able to receive and process trade reports.
In addition, trades submitted after 12:16pm may have been maintained in queue and received and processed after 2:47pm. If your firm was affected by this issue, please check for acknowledgements for each submitted trade report to ensure it was processed by TRACE.
Firms that submit trade reports via CTCI or TRACE Web were not affected by this issue.
We apologize for any inconvenience. Please contact FINRA Operations at (866) 776-0800 or Orlando Cortes of FINRA Product Management at (212) 858-5143 if you have any questions.
November 3, 2008 - 1:40 p.m. ET
Please be advised the issue concerning trades submitted via the NSCC RTTM system interface with TRACE has been corrected. Firms should ensure that any rejected trades that remain Open are Repaired and/or resubmitted.
We apologize for any inconvenience. Please contact FINRA Operations at (866) 776-0800 or FINRA Product Management at (866) 899-2107 if you have any questions.
November 3, 2008 - 11:25 a.m. ET
Please be advised firms reporting trades via the NSCC RTTM system interface with TRACE may experience erroneous rejects from TRACE due to price calculations. We are currently working to resolve this issue and ask that firms Repair any price rejects via the TRACE Web site. We will advise as soon as the issue has been resolved. Firms that report trades via the TRACE Web site or via CTCI are not affected by this issue.
We apologize for any inconvenience. Please contact FINRA Operations at (866) 776-0800 or FINRA Product Management at (866) 899-2107 if you have any questions.
June 17, 2008 - 1:15 p.m. ET
Please be advised there were some errors with the files posted yesterday regarding the non-disseminated TRACE trades. We have now corrected the errors and have provided the following replacement files below in both pipe-delimited and BTDS formats.
| Corrected Pipe Deliminated Format | Corrected BTDS Format |
We apologize for any inconvenience. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
June 16, 2008
TRACE Dissemination - Update
From 8:00 a.m. to 9:30 a.m. this morning a number of transactions reported to TRACE were not disseminated. A file with the non-disseminated transactions is included below.
The file is in pipe.txt format as well as BTDS format. Please refer to the BTDS specification on the Web site for correct processing and update your records accordingly.
As of 9:30 a.m. all transactions have been processed and disseminated.
Please contact FINRA Operations at (866) 776-0800 for more information.
April 18, 2008
As stated in the notice of August 15, 2007, firms using the TRACE Web application to submit trade reports are required to update their bookmarks to reflect the new URL: https://www.finratrace.org. Please be aware effective close of business today, the old URL https://www.nasdtrace.com will be retired, therefore firms must update to the new URL immediately.
If you have any questions on updating bookmarks, please contact Orlando Cortes, FINRA Product Management at (212) 858-5143.
September 25, 2007 - 2:20 p.m. ET
Further to the problem encountered this morning, some firms that submit trade reports via the DTCC's RTTM system may not have received acknowledgments from TRACE between 10:17 a.m. and 11:50 a.m. TRACE experienced problems processing trades received through the RTTM interface during that time. RTTM clients are not required to resubmit trades originally submitted during that time period as the DTCC has retransmitted the affected trade reports to TRACE. RTTM clients should ensure that all trade reports have been accepted and that there are no duplicate reports.
We apologize for any inconvenience. If you have any questions concerning this issue, please contact FINRA Operations at (866) 776-0800.
September 25, 2007 - 10:50 a.m. ET
Firms submitting trades into TRACE via CTCI may have experienced reporting problems this morning. As of 10:25 a.m., the issue has been resolved. It is recommended that firms check that their trade reports submitted prior to 10:25 a.m. were acknowledged from TRACE with the appropriate CTCI acceptance message. Alternatively, firms can also check all their submissions on the TRACE Web browser via the Trade Scan function. Firms that report using TRACE Web or through the DTCC RTTM system were unaffected by this issue.
We apologize for any inconvenience. If you have any questions concerning this issue, please contact FINRA Operations at (866) 776-0800.
August 15, 2007
Important Notice for TRACE Web Users
Please be advised that effective Monday August 20 2007, the Uniform Resource Locator (URL) for the TRACE Web trade reporting application will be modified to https://www.finratrace.org to coincide with the new organization's name. Users that have the TRACE site bookmarked are encouraged to amend the URL accordingly. The URL https://www.nasdtrace.com will continue to access the TRACE site for a short period of time, then will be decommissioned. There is no impact to users' digital certificates used to access the TRACE site. Trade reporting functionality available on the Web site also remains unaffected.
If you have any questions, please contact FINRA Operations at (866) 776-0800 or FINRA Product Management at (212) 858-5143 or (212) 858-4066.
