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The FINRA.org website includes a “System Status” page that reports current system conditions for FINRA-based products and applications.
FINRA will continue to deliver direct emails and post technical notices regarding ADF, ORF, TRACE and TRAQS products; additionally, the System Status page will provide a general view of the current status of all FINRA systems.
FINRA encourages users to bookmark
FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS.
Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e., not via TRAQS) needs to migrate to the FIX protocol by Monday, February 3,
Posted: 11:25 a.m.
The TRAQS issue preventing users from accessing and using the site has been resolved. TRAQS users should log out of the current session and log back in to reset and have complete functional capabilities. If clients have any questions regarding these events please contact FINRA Market Operations at (866) 776-0800.
Posted: 9:10 a.m.
FINRA has observed a number of TRACE and ORF
As a reminder, FINRA is introducing a new system, Participant Data Management (PDM), for FINRA member firms to submit the FINRA Participant Agreement and FINRA Order Form. Starting on December 1, 2021, member firms may test the new PDM system in the customer test environment with the same login credentials used to access the FINRA Participant Agreement or FINRA Order Form today in production. The
The FINRA New Issue Form will be unavailable from 6:30 p.m. ET, Friday, September 25, 2020, until midnight ET Monday, September 28, 2020, while updates are made for the platform infrastructure conversion.
As FINRA has announced, the current FINRA New Issue Form is being retired and replaced with an updated submission platform. Beginning Monday, September 28, 2020, users will access the updated
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form users as
In 2020, FINRA and the CE Council embarked on the biggest transformation of the continuing education program in 25 years. And in the months ahead, those major changes are going into effect. On this episode, we learn what firms and reps can expect and why these changes will have such a big impact.
The FINRA Test Facility (NTF) for the OTC Reporting Facility (ORF) will be unavailable for testing all day Friday August 5, 2022, Thursday, August 11, 2022, and Friday, August 12, 2022. All other FINRA services, including TRACE and the ADF will be available for testing during this timeframe. The ORF test facility will conduct normal operations on August 8-10 and again beginning on August 15, 2022
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