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,
The FINRA Test Facility (NTF) will be unavailable all day Monday, May 15, 2023. NTF availability will resume on May 16, 2023.
Production systems are unaffected by this event.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to perform the following functions for the TRACE, ORF and ADF facilities:
Submit, view, and amend the FINRA Participation Agreement;
View and modify access to the FINRA trade reporting facilities including, TRACE, ORF and ADF;
View, add, modify, and delete various agreements including the
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 (
From Monday, February 6, 2023, through Friday, February 24, 2023, the FINRA Test Facility (NTF) for TRACE Securitized Products was modified to limit trade retention to five rolling business days.
During this time, the NTF Trade Management Window allowed users to search and view trades reported to TRACE within the past rolling five business days (T-5) instead of the standard rolling T-20 business
From Monday, March 20, 2023, through Friday, March 31, 2023, the FINRA Test Facility (NTF) for TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed.
The Trade Management window in FINRA
From Friday, March 10, 2023, through Friday, March 31, 2023, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed.
The Trade Management window in
From Monday, February 6, 2023, through Friday, February 24, 2023, the FINRA Test Facility (NTF) for TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed.
The Trade Management window in
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
