It is commonly understood that for every transaction the terms of the exchange is known by both parties and executed faithfully to produce what we consider the stock market. Technology now allows for near instant transactions for market participants, therefore the due diligence of reporting that transaction to regulatory authorities should occur simultaneously with the transaction itself. This
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
The Technology Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
THIS PAYMENT AGREEMENT (“AGREEMENT”) IS A LEGAL CONTRACT BETWEEN YOU AND THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (“FINRA”) AND SETS FORTH THE TERMS AND CONDITIONS GOVERNING THE PAYMENT OF ENROLLMENT FEES BY CREDIT CARD AND AUTOMATED CLEARING HOUSE (ACH). BY SELECTING THE "AGREE" CHECKBOX, YOU ACKNOWLEDGE THAT YOU ACCEPT THE TERMS OF THIS AGREEMENT.
The Maintaining
TO: All NASD Members
Attention: Registration and Trading Departments
Control Data Corporation will be shutting down its PLATO computer system from Saturday, March 3rd, to Sunday, March 11th, to effect major hardware consolidations. To minimize scheduling problems during the period surrounding he shutdown, the NASD is extending the PLATO expiration dates of candidate enrollments expiring the week
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
Summary
FINRA is proposing formal procedures for bringing actions against non-associated persons who cheat or misbehave during a FINRA qualification examination. Although there are few instances of cheating, because persons who are not yet associated with a member firm may take the Securities Industry Essentials (SIE) examination or other FINRA qualification examinations, formal procedures are
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACETransaction Reporting
Corporate Debt Securities
Executive Summary
The TRACE System is being enhanced to accept reports of transactions in TRACE-eligible securities in cases where the execution
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products to a new Linux-based operating system. FINRA requires client testing participation for this project.Trade Reporting:TRACE clients who utilize FIX for SP trade entry and other transactions should test all FIX Tags to ensure they are properly being processed
In observance of Independence Day, the TRACE system will be closed on Friday, July 3, 2020. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of TRACE data via the Bond Trading Dissemination Service (BTDS), Agency Trading Dissemination Service (ATDS), Structured
