(a) The term "ADF-eligible security" means an NMS stock as defined in Rule 600(b) of SEC Regulation NMS.(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the ADF as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.(c) The term "Correspondent
Members may use the FINRA/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 6300B and 7200B Series, as well as all other applicable rules. The Rule&
Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration. Learn more about what it means to be regulated by FINRA.To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular
Effective Tuesday, May 28, 2024, in accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project
Currently, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and Securitized Products was temporarily modified to limit trade retention to five rolling business days.During this time the NTF Trade Management Window allowed users to search and view trades reported to TRACE within the past rolling five business days (T-5) instead of the standard rolling T-20 business day period.
How to Use The WatchlistHow to Use Custom Templates How to Use Quick SearchHow to Use Bond Screeners & Trade Activity Screeners How to Use Bond Details Pages & Trade History
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited
This data provides trade activity for asset-backed securities (ABSs) for up to 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not
This data provides up to 10 years end of day trade activity for on-the-run nominal coupon treasury securities. View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Trade Activity Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury Securities to the Trade Reporting And Compliance Engine (TRACE), the
Per FINRA Rule 1220, individuals are required to pass an appropriate exam or receive a waiver to qualify for a registration category. After passing an exam, the individual must obtain approved status in a corresponding registration category within two years (four years for the SIE) of the exam date to maintain its validity. If an individual does not obtain an approved registration within the two
