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
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FINRA is amending its TRACE Data agreements, including the Vendor Agreement, the Non-Real-Time TRACE Data Agreement, the Historic Data Agreement and the Academic Corporate Bond TRACE Data Agreement, to update the procedures for notices required or permitted under the agreement to, among other things, allow notices to be sent via email. In addition, other amendments are being made to correct typos
In observation of Independence Day, the TRACE system will be closed on Tuesday, July 4, 2023. Please be advised that the TRACE system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt by renaming the FS Security Master (FSMASTER) and FS Daily List (DAILYLISTFS) files to SOVNMASTER and DAILYISTSOVN
FINRA previously announced plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023. In order to align this change with FINRA Regulatory Notice 22-27, which specifies timestamp granularity, the change for TRACE for Treasuries FIX receipt messages, including acknowledgments, will now go into effect on Monday, November 6, 2023.
Currently, the TRACE for
As previously announced, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA has resolved the issue this morning concerning dissemination of TRACE Corporate and Agency Debt transaction messages disseminated via the BTDS, BTDS-144a and ATDS feeds. All earlier transactions have now been disseminated and the feeds are operating normally.
Please contact FINRA Product Management with any questions.
FINRA is currently experiencing an issue disseminating TRACE Corporate and Agency Debt transaction messages disseminated via the BTDS, BTDS-144a and ATDS feeds. Securitized Products transactions disseminated via the SPDS feed is not affected. Trade reporting into TRACE is also not affected.
FINRA is working on a solution and will update clients as more details are known.
Please contact FINRA
