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Trade Reporting Notice - 6/3/11

FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T

Published Date:
Effective Date: July 5, 2011

FINRA reminds firms of their obligation to submit to FINRA on the Form T Equity Trade Reporting Form, as soon as practicable, last sale reports of over-the-counter (OTC) transactions in equity securities for which electronic submission is not possible. In addition, FINRA is announcing a new process  for the electronic submission of the Form T. Firms are required to submit the Form T in accordance with this new process no later than July 5, 2011.

Questions regarding this Notice may be directed to:

  • Dave Chapman, Director, Market Regulation, at (240) 386-4995; or
  • Office of General Counsel, at (202) 728-8071.