In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 21, 2022. 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,
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 7, 2020. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 15, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data
In observance of Christmas Day, FINRA’s Market Transparency Reporting Systems will be closed on Friday, December 24, 2021. 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,
As part of its Transparency Services improvement initiatives, on December 5, 2022, FINRA will re-platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will include Trade Data Dissemination Service (TDDS) protocol changes, and ORF will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s
Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). The purpose of the Anti-Money Laundering (AML) rules is to help detect and report suspicious activity including the predicate offenses to money laundering and terrorist financing, such as securities fraud and market manipulation. FINRA reviews a firm’s compliance with AML rules under FINRA Rule 3310, which sets forth minimum standards for a firm’s written AML compliance program.
In observance of Martin Luther King Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 18, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in
As previously communicated effective Monday, April 19, 2021, FINRA will replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website and will also institute system infrastructure changes for TRAQS and the API reference data software. Beginning April 19, 2021, all TRAQS users will be required to use MFA to gain access to TRAQS and will be denied access to
