Trade Reporting Frequently Asked Questions
FINRA is issuing this Notice to announce publication on its Web site of Trade Reporting Frequently Asked Questions (FAQ), which provide guidance for firms on reporting over-the-counter (OTC) transactions in equity securities to a FINRA Facility (i.e., a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)). The Trade Reporting FAQ can be found at www.finra.org/tradereportingfaq.
Questions regarding this Notice may be directed to:
- Dave Chapman,Market Regulation, at (240) 386-4995;
- Mark Dorsey,Market Regulation, at (240) 386-6163;
- the Office of General Counsel, at (202) 728-8071; or
- FINRA Operations, at (866) 776-0800.