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
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
Step-by-step instructions on accessing and updating FCS information and access to frequently asked questions.
Background information about FINRA Contact System (FCS) and related Notices.
Important Reg T Extension Request System Announcement
Many firms that file extensions via batch processing have been experiencing a large number of 'REJECTED' extensions with the following error message; "Original Extension Request not found. Secondary request rejected".
FINRA Automated Data Delivery System® (FINRA ADDS®) is a secure website through which firms may request trade journals containing transactions submitted to FINRA TRAQS. FINRA also offers additional access to End-of-Day Transaction files for TRACE and the monthly TRACE Security Activity Report via ADDS.Log In to FINRA ADDSRequest Access to FINRA ADDS web or SFTP services.User GuideFINRA ADDS User
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
The following test script should be completed by all FINRA member firms that will be submitting TRACE trade reports directly to FINRA. If your firm will be using a service bureau to report, or having your clearing firm report on your behalf, you must instead make sure that your service bureau/clearing firm has successfully completed the test. Firms performing the test should submit their
In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments.
12 p.m. ET:The FINRA Test Facility (NTF) is now available for testing. TRAQS users will be able to view all history data except for any transactions that were sent in this morning between 8:00 a.m. and 10:30 a.m. ET for TRACE CA and SP. All other products will display the full transaction history. Please contact FINRA Product Management or call (866)
