In observance of Presidents’ Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, February 17, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
In observance of Martin Luther King Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, January 20, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
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.
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, March 29, 2024.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Municipal
Executive Summary
On May 28, 1998, the National Adjudicatory Council (NAC) considered two requests for exemptive relief under Municipal Securities Rulemaking Board (MSRB) Rule G-37(i). The NAC's decisions are published belowin redacted form, pursuant to a publication policy that the NAC adopted,
In preparation for the dissemination of transaction level data in On-the-Run U.S. Treasury nominal coupons (see Regulatory Notice 24-06), we have updated the Non-Real-Time TRACE Data Agreement and Enhanced Historic Data Agreements.
SummaryFINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set. This new transaction-level data will be publicly available and free of charge on FINRA’s website for non-professionals’ personal, non-commercial
Beginning Monday, March 11, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system; it is not expected that clients will see any material differences from the legacy TS platform.
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