FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 23, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 22, 2023 as the
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt by renaming the FS Security Master (FSMASTER) and FS Daily List (DAILYLISTFS) files to SOVNMASTER and DAILYISTSOVN
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing all day June 26 and June 27, 2023.
Production systems are unaffected by this event. NTF will become available again starting June 28, 2023.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice
Impact: All Firms
Update (June 22, 2023): The link to the Advisory issued by CISA on June 7, 2023 has been updated to reflect CISA’s current guidance.
Firms should review this information with any vendors who provide information technology services to the firm.
As a result of an increased threat of ransomware potentially impacting FINRA member firms, the Cyber and Analytics Unit (CAU) within
Impact: All Firms
Firms without dedicated information security professionals may wish to review this information with any vendors who provide those services to the firm.
As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
In response to request for comment: Current, licensing requirements for real estate capital transactions (e.g., private debt and equity placements, M&A, and Sales) are too numerous (e.g., SIE, S63, S22, S79, and S82), overlapping, time consuming, and do very little to protect investors (Accredited Investors and Institutions). This is further compounded by additional licensing requirements
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE. FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. Firms reporting to TRACE via FIX
