Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework. FINRA will sponsor the second production User Acceptance Test (
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 4613A and adopt IM-4613A-1 to enable ECN members that post quotations through the Alternative Display Facility (“ADF”) (i.e., Registered Reporting ADF ECNs), to request and receive multiple market participant identifiers (“MPIDs”) with which to enter multiple quotes/orders
FINRA has updated the TRACE SPDS Data Feed Specification. The value of “U”, for Issuing Agency “UMBS” is now listed in the RDID identification table.Contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework.FINRA will sponsor a production User Acceptance Test (UAT) on Saturday,
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA values client testing feedback and encourages participation in this effort to validate that all processes work within clients’ TRACE reporting framework. Testing your current TRACE for Treasuries
On Monday, November 20, 2023, TRACE for Treasuries trades reported between 8:00 a.m. ET and 10:09 a.m. ET were not reflected on the FINRA TRAQs website. Treasuries transaction processing and matching were not affected by this event and no other FINRA products were impacted.FINRA will have this data restored and available for TRAQS viewing and TRAQS cancel and correction activity
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
View a new monthly downloadable file of all short sales which were reported to the ADF. The format and data contained in these files is detailed in the Regulation SHO: Data Dissemination document.
<p>Applicability of Rule 3230(a) to secondary or sub-clearing arrangements with foreign securities firms.<br/><br/></p>
