In observance of Martin Luther King, Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 20, 2025. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface
Effective Monday, April 27, 2015, the FINRA TRAQS secure website and TRACE, ADF, and ORF Web API reference data files will no longer be accessible using the Secure Socket Layer (SSL) 3.0 protocol.
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 2, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface specifications, FINRA may send out
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
<p>Rule 3060 does not limit ordinary and usual business entertainment provided by a member or its associated persons to the member's clients and their guests.<br/></p>
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
In observance of Memorial Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, May 27, 2024. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface specifications, FINRA may send out
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, March 29, 2024.
Most transfers of customer accounts from one brokerage firm (the "carrying firm") to another (the "receiving firm") occur through the Automated Customer Account Transfer Service (ACATS), an electronic transfer system developed by the National Securities Clearing Corporation (NSCC) to automate and standardize the transfer of accounts. When it is not possible to use ACATS,
