Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
FINRA has resolved the TRAQS issues for TRACE Corporate and Agencies and TRACE Securitized Products.
FINRA is currently experiencing TRAQS issues for TRACE Corporate and Agencies and TRACE Securitized Products (all other facilities are operating normally).
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 production User Acceptance Test (UAT) on Saturday, July 20, 2024, from 9 a.m. to 12 p.m. ET. Clients who wish to participate in this test must register with FINRA Market
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
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.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those
FINRA is currently experiencing an issue and not accepting TRACE Treasuries trade reports. FINRA will update clients as more details are available.
Reporting of Information Relating to OTC Trades in NMS Stocks
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 encourages client testing participation in this effort to validate that all processes work within the TRACE reporting framework.As part of this migration FINRA will introduce a new protocol to
