FINRA publishes information about securities traded via a FINRA equity trade reporting facility as opposed to on a centralized exchange, also referred to as over-the-counter (OTC) equities, on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis. The trading information is derived directly from OTC trades that ATS member firms report to FINRA.
Published each year, this Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related considerations for member firm compliance programs, (2) summarizes noteworthy findings from recent examinations and outlines effective practices that FINRA observed during its oversight, and (3) provides additional resources that may be helpful to member firms.
A collection of reports and report cards created for firms to monitor their risk. Includes display summaries and statistics related to various risk factors, including canceled trades, customer complaints, customer debits, and registered representative composition.
The Securitized Products Capped Volume Report provides additional information on disseminated transactions whose size was subject to TRACE dissemination caps. The report shows average size (in millions) of capped transactions for Securitized Products reported to TRACE. The data is grouped into sub product categories including: TBA (Good Delivery and Non-Good Delivery), MBS, and ABS.
The report is published on the first business day of each month.
FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF), Alternative Display Facility (ADF) or Over the Counter Reporting Facility (ORF).
The Symbol Directory provides a search function to locate issues by name or symbol for equities that are traded directly between counterparties without being listed on an exchange, also known as over-the-counter (OTC) equities. The directory is available for both OTC Bulletin Board ® (OTCBB) issues and other-OTC issues.
The End-of-Day TRACE Transaction File includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File is provided to subscribers after the TRACE system closes at the end of each trading day, and is available separately for each data set for which Real-Time TRACE transaction data is available (i.e., the Corporate Bond Data Set, the Agency Data Set, SP Data Set and Rule 144A Data Set). This data product includes the same transaction data elements disseminated in the Real-Time TRACE transaction feed.
This data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
This data provides trade activity for to-be-announced (TBA) securities for the past 10 years. Access up to three years real-time trade history and seven years end-of-day per individual security. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.