Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE. FINRA has updated the TRACE Web API Specifications for Corporate and Agency Debt and the TRACE OTC Corporate Bonds and Agency Debt User Guide to align with these changes. Firms reporting to TRACE via FIX
This is absolutely ridiculous.PDT rules create undo burden and increase the level of risk and loss associated with trading. Having a required $25,000 minimum was an already ridiculous standard, increasing that to $100,000 would be absurd. This is the type of wealth discrimination that allows for the rich to prosper at the exact expense of the average person.When breaking news occurs and a stock
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
Investing in real estate can be a good way to diversify your assets. But if you don’t want the responsibilities that come with ownership, real estate investment trusts (REITS) and other products can provide exposure to real estate without requiring you to actually buy or sell property.
GUIDANCE
Denial of Access Complaints
Compliance Date: May 26, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Access to Quotations
Alternative Display Facility
Market Regulation
Executive Summary
On March 10, 2005, the Securities and Exchange Commission (SEC)
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 1501, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALWA.GA
Alamosa Delaware Inc
12.500
02/01/11
AMR
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing all day June 26 and June 27, 2023.
Production systems are unaffected by this event. NTF will become available again starting June 28, 2023.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 7, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 21, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 20,
