When securities are listed on a centralized exchange, such as the New York Stock Exchange or Nasdaq, transaction information such as price and trade history is readily available to investors through the exchange. But how can you get information about bonds and other fixed income securities that are not listed on a national securities exchange? Information about these securities, known as over-the-counter (OTC) debt securities, is provided by TRACE®—the Trade Reporting and Compliance Engine®.
W CAMPION CAPITAL LLC3401 N MIAMI AVENUE, SUITE 230, MIAMI, FL 33127W G SECURITIES, LLC1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525W&S BROKERAGE SERVICES, INC.400 BROADWAY, CINCINNATI, OH 45202Mailing Address: 400 BROADWAY, MS-03, CINCINNATI, OH 45202W.G. NIELSEN & CO.3200 CHERRY CREEK DRIVE SOUTH, SUITE 470, DENVER, CO 80209WACHTEL & CO., INC.1701 K
FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets.
Alternative Display Facility (ADF)
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of March 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ARGI.GE
American Restaurant Group Inc
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
On Demand presentations from TRACE
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a
