In observance of Good Friday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-
To enhance the security of participant accounts, beginning Monday, June 23, 2025, FINRA will employ a session timeout control on the TRAQS production website. TRAQS clients will be logged out after 60 minutes of inactivity. A five-minute warning message will be displayed to clients prior to the logout occurring. TRAQS clients may begin testing this new feature in the test facility (NTF) beginning
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
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FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades
