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FINRA has updated the Financial Information eXchange (FIX) and Computer-to-Computer Interface (CTCI) specifications for reporting OTC equity trades to the new OTC Reporting Facility (ORF) platform. Reporting to the new platform will become effective on Monday June 2, 2014.
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make one type of files available: Daily Short Sale Volume Files.
On June 2, 2014, the OTC Reporting Facility (ORF) is scheduled to migrate to new technology.
The Trade Reporting and Compliance Engine (TRACE) is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities. All broker-dealers who are FINRA member firms have an obligation to report transactions in TRACE-eligible securities under an SEC-approved set of rules.
The Advertising Regulation Department protects investors by ensuring that broker-dealers' communications are fair, balanced and not misleading and comply with the advertising rules of FINRA, the SEC, the MSRB and SIPC.
The Department helps FINRA members understand and apply these advertising rules through its filings review program, published guidance and outreach. Through its filings
The Uniform Practice Code (UPC) is a series of rules, interpretations and explanations designed to make uniform, where practicable, custom, practice, usage, and trading technique in the investment banking and securities business, particularly with regards to operational and settlement issues. These can include such matters as trade terms, deliveries, payments, dividends, rights, interest,
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
As part of FINRA’s program to monitor firms for compliance with the SEC’s Regulation M, FINRA’s Market Regulation department reviews over-the-counter (OTC) trading and quoting activity for prohibited purchases, bids or attempts to induce bids or purchases during the applicable restricted period, and for prohibited short sales during the five-day period prior to pricing the offering.
FINRA uses a combination of tools to reduce the risk of harm to investors by member firms and brokers they may hire that have a history of misconduct.
SEC Approves Amendments to Equity Trade Reporting and OATS Rules