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FINRA Updates the Transparency Services Participant Agreement

April 3, 2017

FINRA member firms that have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities must submit their transaction reports to the appropriate FINRA facility and are required to complete a participant application agreement before they are given access to the facility. Facilities covered by the FINRA Transparency Services Participation Agreement (FPA) and documentation include:

  • TRACE (Corporate and Agency; Securitized Products; and Treasuries)
  • OTC Reporting Facility (ORF)
  • Alternative Display Facility (ADF)

 

Questions regarding this Notice or about the FPA should be directed  to FINRA Market Operations  at (866) 776-0800.

Details

Date:
April 3, 2017
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Website:
www.finra.org

Organizer

FINRA
Website:
www.finra.org
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