SummaryEffective May 14, 2025, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $27.80 per million dollars in transactions to a new rate of $0.00 per million dollars in transactions.Finance-related questions should be directed to Amanda Rath, Associate Director, Revenue Management,
FINRA has corrected the intermittent TRAQS stop sign error condition some clients were receiving on Monday when attempting to access the website.
Please contact FINRA Operations or call 866.776.0800 if you continue to experience issues or if there are questions regarding this notice.
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
The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
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.
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
