Regulatory Notice 16-14

FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data

Implementation Date: October 3, 2016

Executive Summary

Beginning on Monday, October 3, 2016, FINRA will expand its alternative trading system (ATS) transparency initiative to publish monthly information on block-size trades occurring on ATSs. The data will be available free of charge on FINRA’s website.

The amended rule text is available on FINRA’s website.

Questions concerning this Notice should be directed to:

  • Dave Chapman, Director, Market Regulation, at (240) 386-4995;
  • Brendan Loonam, Director, Business Services, at (212) 858-4203; or
  • Brant Brown, Associate General Counsel, Office of General Counsel, at (202) 728-6927.