In observance of Martin Luther King, Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 15, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface
On Monday, November 20, 2023, TRACE for Treasuries trades reported between 8:00 a.m. ET and 10:09 a.m. ET were not reflected on the FINRA TRAQs website. Treasuries transaction processing and matching were not affected by this event and no other FINRA products were impacted.FINRA will have this data restored and available for TRAQS viewing and TRAQS cancel and correction activity
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework.
I believe public investments tools should be available to all of the public, The fund company follows SEC regulation to offer the prospectus of the fund to investors and investors evaluates own risk tolerance to make decision.
