FINRA Alternative Trading System (ATS) Important Dates

FINRA reminds firms of important upcoming dates for the Alternative Trading System (ATS) Transparency initiative.

Testing

Access to the test server for inbound file submission and response file access will end at 6 p.m. Eastern Time (ET) on Wednesday, May 14, 2014. Firms that need to conduct testing for file submission and response access after 6 p.m. ET on May 14, 2014, should email FINRA Product Management to arrange for testing assistance.

File Aggregation and Delivery-First Week of Production Data

May 12, 2014

Firms can start to aggregate data into production files.

May 16, 2014

Firms can begin to send production aggregate data files to FINRA for the week of May 12-May 18, 2014. Note: Files sent after 5 p.m. ET will be processed the next business day at 5 p.m. ET.

May 28, 2014

The last day firms can send production data files to FINRA and remain in compliance with the rule for the week of May 12-May 18, 2014. Note: Files will be accepted after this date; however firms will be considered out of compliance with the rule if the initial file is sent late. Firms may send subsequent files to correct a previously submitted file at any time.

Questions regarding the ATS product should be sent to FINRA Product Management or by calling (866) 899-2107.