Notices
FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.
FINRA also provides a Subject Index of Notices.
Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.
| Date of Pub |
Title |
Description |
|---|---|---|
| Aug 26, 2016 | Trade Reporting Notice – 8/26/16 |
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016
|
| Jun 12, 2017 | Trade Reporting Notice – 6/12/17 |
Effective Date for Required Use of TRACE for Treasuries Modifiers
|
| Apr 3, 2017 | Trade Reporting Notice – 4/3/17 |
FINRA Updates the Transparency Services FINRA Participant Agreement
|
| Dec 5, 2016 | Trade Reporting Notice – 12/5/16 |
Reporting of Information Relating to OTC Trades in NMS Stocks
|
| Nov 7, 2011 | Trade Reporting Notice – 11/7/11 |
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
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| Oct 7, 2016 | Trade Reporting Notice – 10/7/16 |
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility
FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016. |
| Oct 7, 2015 | Trade Reporting Notice – 10/7/15 |
Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 2015
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| Jan 20, 2016 | Trade Reporting Notice – 1/20/16 |
OTC Equity Trading and Reporting in the Event of Systems Issues
|
| Sep 23, 2011 | Trade Reporting Notice - 9/23/11 |
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
|
| Sep 23, 2011 | Trade Reporting Notice - 9/23/11 |
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
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| Sep 17, 2010 | Trade Reporting Notice - 9/17/10 |
Price Validation and Price-Override Protocol
|
| Aug 19, 2010 | Trade Reporting Notice - 8/19/10 |
Weighted-Average Price/Special Pricing Formula Trade Modifier
|
| Aug 14, 2008 | Trade Reporting Notice - 8/14/08 |
Trade Reporting Frequently Asked Questions
|
| Aug 1, 2013 | Trade Reporting Notice - 8/1/13 |
Frequently Asked Questions Regarding TRACE Reporting
|
| Jul 28, 2008 | Trade Reporting Notice - 7/28/08 |
FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
|
| Jul 11, 2014 | Trade Reporting Notice - 7/11/14 |
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
|
| Jul 1, 2008 | Trade Reporting Notice - 7/1/08 |
FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008
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| Jun 3, 2011 | Trade Reporting Notice - 6/3/11 |
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
|
| May 10, 2011 | Trade Reporting Notice - 5/10/11 |
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
|
| Apr 17, 2013 | Trade Reporting Notice - 4/16/13 |
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
|
| Mar 25, 2013 | Trade Reporting Notice - 3/25/13 |
Reporting Reversals of OTC Trades in Equity Securities
Effective Date: July 29, 2013
In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013. |
| Mar 18, 2008 | Trade Reporting Notice - 3/18/08 |
Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Effective Date: April 21, 2008
|
| Feb 8, 2010 | Trade Reporting Notice - 2/8/10 |
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
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| Feb 24, 2009 | Trade Reporting Notice - 2/24/09 |
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
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| Feb 22, 2008 | Trade Reporting Notice - 2/22/08 |
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
|