September 25, 2006On September 14, 2006, NASD filed a proposed rule change (SR-NASD-2006-108) to establish a new Trade Reporting Facility in conjunction with the National Stock Exchange ("NSX") that would provide members another mechanism for reporting trades in Nasdaq-listed equity securities effected otherwise than on an exchange.NASD is issuing this OATS Report to inform members that
On Monday, January 22, 2018, in response to requests by member firms, FINRA will implement changes to the TRACE for Treasuries (U.S. Treasuries) trade reporting retention period. Currently, trade reports for U.S. Treasuries transactions are retained on a rolling 2-day period (T-1). Following the change, trade reports for U.S. Treasuries transactions will be retained on a rolling 3-day period (T-2
Inactive Exchange Participants
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
FINRA reminds firms that the new FINRA/Nasdaq Trade Reporting Facility (the FINRA/Nasdaq TRF Chicago) will commence operation on Monday, September 10, 2018. The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-up trade reporting arrangements, as set
Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds
As part of a technology modernization initiative, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. Details are
Summary
The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a
Summary
The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees (formerly known as District Committees). The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting
As part of the expansion of the OATS Rules to all NMS stocks, FINRA will electronically link OATS Route Reports to the related order in the applicable NYSE market, similar to orders routed to a NASDAQ market.
