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.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) and NASD Rule 2111 (Trading Ahead of Customer
Beginning Monday, September 9, 2024, FINRA will introduce the MOLD.UDP 64 protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A.
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
As previously announced beginning Monday, September 9, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds.
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.FINRA will sponsor a second production User Acceptance Test (UAT) on Saturday, August 10, 2024, from 9 a.m. to 12 p.m. ET. TRACE clients are strongly encouraged to participate in this test to ensure
FINRA and ISG Enhance Electronic Blue Sheet Submissions
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
FINRA has resolved the issues with TRACE trade reporting. Firms should review reported activity in TRAQS Trade Management and resubmit any missing activity.
