On Tuesday February 11, 2020, and Wednesday, February 12, 2020, the FINRA Test Facility (NTF) will be unavailable for clients who test using the CTCI-MQ.protocol. This affects FINRA's Trade Reporting and Compliance Engine (TRACE) and the OTC Reporting Facility (ORF).
FIX and CTCI-TCP/IP protocols in the NTF region as well as all production systems are unaffected by this
The FINRA Test Facility (NTF) is currently unavailable for testing all FINRA Multi Product Platform (MPP) products.
This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Alternative Display Facility (ADF) platform, and the OTC Reporting Facility (ORF) .
FINRA's production systems are unaffected by this event. FINRA will send an updated
As previously announced, FINRA is introducing changes to the current Trade Data Dissemination Service (TDDS 2.0). protocol and structure.1 These changes are being made in concert with FINRA’s technical infrastructure upgrade, and TDDS clients must accommodate them by December 5, 2022; as of that date the current TDDS 2.0 version will no longer be supported. FINRA is offering testing for
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Legal & ComplianceOperationsTrading
Executive Summary
On July 1, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Schedule H to the NASD By-Laws regarding quotation-size requirements for market makers in over-the-counter (OTC) equity securities. The rule change revises the minimum-size requirements applicable to market makers
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FINRA is a not-for-profit, self-regulatory organization dedicated to investor protection and market integrity. Learn how our structure and operations safeguard investors.Regulatory OperationsProtecting investors and safeguarding markets requires constant vigilance
December 1998
SEC 1999 BD-Y2K Independent Public Accountant's Report
As discussed in earlier issues of Notices to Members, and in other National Association of Securities Dealers, Inc. (NASD®) publications, the Securities and Exchange Commission (SEC) adopted an amendment to its Rule 17a-5 requiring that broker/dealers file Year 2000 readiness reports (BD-Y2K); the first report was due
Portfolio Resources Group, Inc. appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations
January 1999
Contingency Planning
Although most businesses are working diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things will be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses must realize that there are things beyond their control that could impact various entities in 2000
Transitional Broker LLC appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that
