TRACE Dissemination information for Vendors and Subscribers.
INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/Nasdaq Trade Reporting Facility or if the FINRA/Nasdaq Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/Nasdaq Trade Reporting Facility Operations Department,
Among the many opportunities available to investors are those involving “crowdfunding.” Crowdfunding generally refers to the use of the internet by small businesses to raise capital through limited investments from a large number of investors. Crowdfunding investments carry significant risk, and you can lose some or all of your investment.
In preparation for the dissemination of transaction level data in On-the-Run U.S. Treasury nominal coupons (see Regulatory Notice 24-06), we have updated the Non-Real-Time TRACE Data Agreement and Enhanced Historic Data Agreements.
The Arbitrator's Guide provides arbitrators important information and access to the forms necessary to complete their assignments.This guide contains general information about FINRA, tips for contacting staff in the four regional offices by email and important information about an arbitrator's duties and obligations. The Arbitrator's Guide also contains resources to help you learn
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of
(a) When and How Transactions are Reported(1) Transaction Reporting During Normal Market HoursMembers shall, as soon as practicable but no later than 10 seconds after execution, transmit to the ADF, or if the ADF is unavailable due to system or transmission failure, by telephone, facsimile or e-mail to FINRA Market Operations, last sale reports of transactions in ADF-eligible securities executed
Whether on-base or deployed overseas, it is crucial that military service members have access to financial education information that enables them to make prudent saving and investing decisions for themselves and their families.
As we approach the end of the first quarter of 2024, FINRA’s Cyber and Analytics Unit (CAU) proactively warns member firms of continuing social engineering campaigns involving fraudulent representations of individuals purporting to be FINRA representatives. As with many types of social engineering campaigns, threat actors may use website domain names (sites) that are similar to FINRA.org (e.g., Finra-latam.org, finra.world, finra.eu), fraudulently use FINRA’s logo or purport to be legitimate FINRA employees. These domains and individuals are not associated with FINRA.
