19-00315.pdf
NWAWD-New Code Award Template
SR-FINRA-2020-004
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rules 7610A and 7620A to eliminate transaction credits and trade reporting fees applicable to Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).
SR-FINRA-2020-004
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 7610A and 7620A to eliminate transaction credits and trade reporting fees applicable to Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).
Technical NoticeUpdate - OTC Transparency Data Publication Delay
February 03, 2020
FINRA experienced an issue this morning with the processing of OTC Transparency Data, (for both ATS and Non-ATS data sets) in OTCE securities for the week of December 30, 2019. The issue has now been resolved and all files and data have been published.
If you have any questions, please contact ATS Support.