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As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA encourages testing participation in this effort to validate that all processes work within clients’ TRACE reporting framework.
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
The FINRA Test Facility (NTF) for all TRACE reporting and data feeds has been restored for testing.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Firms can file communications for review via Advertising Regulation Electronic Files (AREF), an online application. In addition, firms can use AREF to view, print and save the department’s review letters. <a class="btn" href="/">test</a>
FINRA is introducing a new system for FINRA member firms to submit the FINRA Participant agreement and FINRA order form. Beginning January 31, 2022, FINRA Member firms will be required to use the Participant Data Management platform to perform the following functions for the TRACE, ORF or ADF facilities:
Submit, view, and amend the FINRA Participation Agreement;
View and modify access to the
The FINRA Test Facility (NTF) for ORF has been restored and is now available for use.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
The FINRA Test Facility (NTF) is now available for testing all FINRA Multi Product Platform (MPP) products.
Please contact FINRA Operations or call (866) 776-0800 with questions regarding this notice.
Currently, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and Securitized Products was modified to limit trade retention to five rolling business days.
During this time the NTF Trade Management Window allowed users to search and view trades reported to TRACE within the past rolling five business days (T-5) instead of the standard rolling T-20 business day period.
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