Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to append modifiers to identify delayed Treasury spot and portfolio trades when reporting to FINRA’s Trade Reporting and Compliance Engine (“TRACE”).
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It's common for compliance specialists at firms to wonder “How do I report on my NRF people?”. For
Natalie Meyer is Senior Vice President, Chief Compliance Officer and Counsel in FINRA's Ethics and Compliance Office. In this role, Ms. Meyer oversees FINRA's Ethics, Compliance and Data Privacy Programs, as well as FINRA’s Oversight Liaison’s office. Additionally, Ms. Meyer is responsible for overseeing FINRA's Commercial Transactions Group in the Office of General
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 26, 2021 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
As previously reported, the FINRA/NYSE TRF experienced a processing issue that resulted in a subset of SIP trade reports being reported with an incorrect ‘Sold’ modifier. The FINRA/NYSE TRF has identified the cause of the issue and installed a fix last night to prevent the application of incorrect ‘Sold’ modifiers to trade reports beginning on November 18, 2021. Refer to the FINRA/NYSE
As of 11/16/2021, Jane Street (MPIDs: JSCA and JSEB) is no longer a registered ADF Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF). For any questions, please contact FINRA Business Services at (212) 858-4342.
In observation of the Thanksgiving holiday, Market Transparency Systems will be closed on Thursday, November 25, 2021 and will close early on Friday, November 26, 2021. See below for more information on modified hours:
TRACE
See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter.
