Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available.
Beginning Thursday, November 1, 2018, FINRA will discontinue processing the FINRA-Bloomberg Active U.S. Corporate Bond Indices.
The following FINRA TRACE Corporate and Agency (CA) API files will continue to have historical data available for download for the February 4, 2011 through October 31, 2018 period:
Indices (Investment Grade, High Yield)
10 Most Active Index Bonds (Investment Grade,
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
FINRA client connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF) are routed through Nasdaq, which acts as FINRA's service provider.
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
TRACE Fact Book
The TRACE Fact Book—based on aggregated data as entered into TRACE—is intended to give a historical perspective of the over-the-counter (OTC) U.S. corporate bond, agency debenture, asset-backed and mortgage backed security markets.
Independent Academic Studies
Scholars have published several papers that evaluate TRACE's impact on liquidity, valuation and other aspects of
We publish The Neutral Corner to provide arbitrators and mediators with current updates
on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.
