FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website. Closing all browser sessions and opening a new session will normally alleviate this problem.
Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the
As announced in the April 28, 2020 notice, “Introduction to Transparency Services Initiatives and Webpage”, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform. The new platform will be available with the same log in credentials used to access the FINRA New Form today and is expected to go live on Monday, September 28, 2020
REQUEST FOR COMMENT
Order Audit Trail System
Action Requested By: July 10, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Order Audit Trail System
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members and other interested parties on proposed changes to the OATS
Consolidated Audit Trail (CAT)Customer Order Handling: Best Execution and Order Routing DisclosuresRegulation SHO – Bona Fide Market Making and Close-Out RequirementsFixed Income – Fair PricingOTC Quotations in Fixed Income SecuritiesMarket Access RuleExtended Hours Trading NEW FOR 2025Previous:Annuities Securities ProductsUp:Market IntegrityNext:Consolidated Audit Trail (CAT)
FINRA has resolved the issue affecting the forms filings.
Firms should contact FINRA Market Operations or call 866.776.0800 with questions regarding this issue.
Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing in the FINRA Firm Gateway will incur an error.
Firms should contact FINRA Market Operations or call (866) 776-0800 with questions or for assistance in setting up new issues. FINRA will advise when this issue has been resolved.
As previously communicated, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files. FINRA will extend the test period for this project and has modified the implementation date to Monday, November 11, 2024. Beginning on November 11, 2024, FINRA will no longer support the use of digital certificates to access the Reference data
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
Update - FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)
FINRA has resolved the issue affecting the forms filings.
Firms should contact FINRA Market Operations or call 866.776.0800 with questions regarding this issue.
FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)
Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error.
Firms should contact FINRA Market Operations or call 866.776.0800 with questions or for assistance in setting up new issues. FINRA will advise when this
