Market Transparency

FINRA operates a number of systems that assist member firms in complying with FINRA reporting requirements and facilitate transparency in the applicable markets.

 

Alternative Display Facility (ADF)

Announcements | Contact | Participant Information And Legal Agreements | Participants | Documentation | Notices | Rules | Rule Filings | SEC Interpretive Actions | Regulation SHO | News Releases | ADF Notifications Signup | System Status | Denial of Access

 

Alternative Trading System (ATS) Transparency

ATS Data | Documentation | Rules | Rule Filings | Notices | System Status | Contact Information | ATS Notification Signup | On Demand Presentations | Frequently Asked Questions (FAQ) | List of Equity ATSs | ATS Legal Agreements | Market Data Policies

 

INSITE

FAQ

 

Order Audit Trail System (OATS)

Announcements | FAQ | Rules | Small Firm Resources | Registration and User Entitlement | OATS Report | OATS Expansion to all NMS Stocks | Technical Specifications | OATS Web Interface | Reportable Securities | OATS Archive

 

OTC Reporting Facility (ORF)

Announcements | Forms & Documentation | Participant Information And Legal Agreements | Rules | Fees | Trading Halts | OTC Equity Short Interest | Reg SHO | Equity Trading Data | Contact Information | System Status| Technical Notices | OTC Equities Notifications Signup

 

OTC Bulletin Board (OTCBB)

Announcements | Forms and Documentation | Rules | Fees | Directories | FAQ | Glossary | Contact Information | OTC Equities Notifications Signup | System Status

 

Regulation NMS

Announcements | Member Alerts | Notices | Rule Filings | OATS

 

Trade Reporting and Compliance Engine (TRACE)

Announcements | Legal Agreements | System Status | Rule Filings | Notices | Documentation | News Releases | Fees | FAQ | Holiday Calendar | Contact Information | Business Continuity Plan | Corporate Bond Data | Structured Product Activity Reports and Tables | TRACE Notifications Signup

 

Trade Reporting Facility (TRF)

Announcements | Contact | Legal Agreements | Participants | Documentation | Rules | Regulation SHO | Limit Up/Limit Down (LULD) Plan | TRF Notifications Signup | System Status

 

Uniform Practice Code (UPC)

Rules | Forms & Documentation | UPC Advisories | FAQ | Contacts | Committee

 

Last Updated: 7/10/2014

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