May 2, 2003
Below are the order report formats for the New Report, Cancel/Replace Report, Combined Order/Route Report, Combined Order Execution Report, Route Report, and Execution Report, which will be effective in the OATS Testing environment on July 14, 2003 and in the OATS Production environment on July 28, 2003.
New Order Report
Seq.
Name
Data Type (Length)
M/C
August 22, 2003All firms that report data to OATS directly or via a third party and all third parties that report data to OATS on behalf of a member firm must register with OATS and obtain an Administrator User ID and password. Once this initial Administrator User ID and password is established, the reporting party may then request additional user accounts with which to submit data and/or view
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in personal losses. Protection of senior investors is a top priority for the Financial Industry Regulatory Authority (FINRA) and is the focus of several rules intended to thwart financial exploitation.
On May 14, 2018, amendments to FINRA Rule 2232 will take effect, which require a member firm to disclose on the customer confirmation the amount of mark-up or mark-down it applies for certain trades with retail customers in corporate or agency debt securities. Disclosed mark-ups must be calculated consistent with existing Rule 2121. With regard to the client confirmation requirements and
Due to a reference data file problem affecting TRACE MBS securities, transactions reported in these securities on Tuesday, April 3, 2018, between 8:00 a.m.ET and 11:49 a.m. ET were not disseminated via the SPDS and SPDS-144A data feeds.
Posted: April 12, 2019
Holiday Reminder
The TRF Systems will be closed on Friday, April 19, 2019. 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 TRF data, should take the necessary precautions to prevent data corruption. Thank you for your attention to this
This specification describes the message formats for The Nasdaq Stock Market, Inc., Computer-to-Computer Interface to disseminate TRACE trade reporting data.
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
