As market conditions may warrant, in consultation with the SEC, FINRA may suspend the reporting or dissemination of certain Covered Securities Loans, or the reporting of certain Data Elements or Confidential Data Elements or the dissemination of certain Data Elements for such period of time as FINRA deems necessary.Adopted by SR-FINRA-2024-007 eff. Jan 2, 2026.
(a) Mandatory Participation(1) Pursuant to SEA Rule 10c-1a, participation in SLATE is mandatory for purposes of reporting Covered Securities Loans. Such mandatory participation obligates a Covered Person to submit Covered Securities Loan information to SLATE in conformity with SEA Rule 10c-1a and the FINRA Rule 6500 Series.(2) Participation in SLATE shall be conditioned upon the SLATE Participant
The TRACE Detail Data Download is designed to accompany the TRACE Quality of Markets Summary Report Card as a tool to help a firm analyze and improve its compliance-related activities associated with reporting transactions via TRACE.
FINRA Automated Data Delivery System® (FINRA ADDS®) is a secure website through which firms may request trade journals containing transactions submitted to FINRA TRAQS. FINRA also offers additional access to End-of-Day Transaction files for TRACE and the monthly TRACE Security Activity Report via ADDS.Log In to FINRA ADDSRequest Access to FINRA ADDS web or SFTP services.User GuideFINRA ADDS User
2025 Holiday ScheduleWednesday, January 1, 2025New Year’s Day ObservationMonday, January 20, 2025Martin Luther King, Jr. DayThursday, January 9, 2025National Day of Mourning*Monday, February 17, 2025Presidents' DayFriday, April 18, 2025Good Friday (system closed)Monday, May 26, 2025Memorial DayThursday, June 19, 2025JuneteenthThursday, July 3, 2025Day before Independence Day (1 p.m. early
Financial Industry Regulatory Authority, Inc. (“FINRA”) is, consistent with SEA Rule 10c-1a, filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new FINRA Rule 7720 (Securities Lending and Transparency Engine (SLATE™)) to establish securities loan reporting fees and securities loan data products with associated fees in connection with FINRA’s
I understand the intention of three day trades per week was to reduce the risk and losses incurred. Over the years, it seems to have actually exposed traders to more risk. Allowing no more than three round trip trades in five business days has created a burden on traders as well as brokerage firms. Traders who wish to trade in small amounts to build capital typically do not have access to the
(a) Next Day Dissemination For each Initial Covered Securities Loan and Loan Modification reported to SLATE on a given business day, no later than the morning of the next business day, FINRA will make publicly available: (1) for an Initial Covered Securities Loan, the unique identifier assigned by FINRA to the Covered Securities Loan; (2) for a Loan Modification, the
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
Please consider removing Pattern Day Trading rules. If you still believe PDT rules are critical, would it be outrageous to lower the $25k minimum or increasing the number of trades that can be done in a rolling 5 day period? The PDT rules hurt new investors because they can’t practice trading with a smaller account. Thank you for your consideration.
