FINRA has rectified the TRAQS error clients observed this morning whereby a number of TRACE and ORF clients experienced problems submitting transactions to TRAQS.
TRAQS clients with questions regarding this issue should contact FINRA Market Operations at (866) 776-0800.
Regulations should be met not enforced, we should be able to invest freely and should not through rigorous processes nor have restrictions, its unconstitutional. At some point in your life you were all in our shoes, if not put yourself in them.
FINRA has observed a number of TRACE and ORF clients experiencing problems submitting transactions to TRAQS. Users are presented with an error related to the connection attempt.
FIX trade reporting is unaffected by this issue. FINRA is currently researching the problem and will provide an update when it is known.
TRAQS clients with questions regarding this issue should contact FINRA Market
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Exchange-traded funds (ETFs) and other exchange-traded products (ETPs) combine aspects of mutual funds and conventional stocks. As with any investment, ETPs can expose investors to any number of risks, so understanding the products and how they work is important.
From Monday, September 26, 2022, through Friday, September 30, 2022, the FINRA Test Facility (NTF) for the OTC Reporting Facility (ORF) will not include the trade reporting nanosecond enhancements FINRA previously announced. All other ORF testing functions will be available during this week, including TDDS 2.1 data dissemination.
Effective Monday, December 5, 2022, ORF will begin supporting
Mutual funds pool the money of many investors, who buy shares of the funds, to purchase a range of securities to meet specified objectives, such as growth, income or both. They can offer built-in diversification and professional management but, like investing in any security, investing in a mutual fund involves certain risks.
Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
