On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the
On Monday, January 22, 2018, in response to requests by member firms, FINRA will implement changes to the TRACE for Treasuries (U.S. Treasuries) trade reporting retention period. Currently, trade reports for U.S. Treasuries transactions are retained on a rolling 2-day period (T-1). Following the change, trade reports for U.S. Treasuries transactions will be retained on a rolling 3-day period (T-2
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
OTCE Historical Data Download Files
TRACE Enhanced Historical Data consists of transaction-level information including the price, the date and time of execution, transaction size and the yield. The data includes information previously not disseminated to the public, such as buy/sell indicators, counterparty (dealer or customer) information, and the full volume of each transaction. FINRA makes historical data available 6 months
On April 16, 2018, FINRA will be upgrading Axway Secure Transport in the Production (PD) environment from the current version of 5.1 to version 5.3.
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On February 1, 2018, FINRA will introduce two new TRACE data products: the End-of-Day TRACE Transaction File and the TRACE Security Activity Report.
The End-of-Day TRACE Transaction File
The new End-of-Day TRACE Transaction File is a daily file that includes all transaction data disseminated as part of Real-Time TRACE transaction data on that day. The End-of-Day TRACE Transaction File will be
Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.Support for FinPro, TESS and CE is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET.
