In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private such as Trade Reporting Facilities and other over-the-counter operations. FINRA regulates trading in equities, corporate bonds, securities futures, and NASD and NYSE Regulation (now collectively known as FINRA) obtained (b) A Trade Reporting Facility Participant that posts a quotation on a FINRA system use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 31 Dec 2014 NYSE. I think that the Nasdaq Trade Reporting Facility is reporting network for off- exchange transactions, from trying to decipher FINRA's TRF info a facility that reports OTC trades in NMS securities (Nasdaq, NYSE, and other exchange-listed securities). The TRF provides automated trade reporting through
(b) A Trade Reporting Facility Participant that posts a quotation on a FINRA system use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 31 Dec 2014 NYSE. I think that the Nasdaq Trade Reporting Facility is reporting network for off- exchange transactions, from trying to decipher FINRA's TRF info
1 Mar 2019 FINRA/NASDAQ Trade Reporting Facility''). proposed rule change is available on the. Exchange's website at www.nyse.com, at the principal 31 Aug 2018 The NYSE provided financial support for this research. “pre-trade transparency ”), and timely reporting of equity market trades (called “post-trade 32 When market participants use FINRA's Alternative Display Facility FINRA/NASDAQ Trade Reporting Facility LLC: Trade In Game Systems At Best Exchange for physicals CHARGES FOR NASD/NYSE TRADE REPORTING
prior knowledge and/or approval. “Approved Facilities” means those FINRA facilities listed in Attachment A which have been selected by Participant or the Executing Broker; and b. accepts and approves all trade reports submitted to the Approved Facilities on the Participant's behalf by the Executing Broker identified below. 2. (1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of transactions in designated securities executed during normal market hours. FINRA/Nasdaq Trade Reporting Facility. The FINRA Trade Reporting Facility (TRF) operated in partnership with FINRA/Nasdaq TRF is an automated trade reporting and reconciliation service operated on the Nasdaq ACT technology platform. The Nasdaq TRF electronically facilitates trade reporting, trade comparison and clearing of trades for all U.S. A202.3: No, it is not permissible for a FINRA member to report a trade to a FINRA Facility that was executed between two non-members if the FINRA member is not a party to the trade. If, however, the FINRA member is a party to the OTC trade, the FINRA member must report the trade to a FINRA Facility. There are three venues via which these trades may be reported to FINRA -- NASDAQ's, NYSE's, and FINRA's own ADF. They're all operated under the purview of FINRA, so the fact that they're "located at" NASDAQ or NYSE is a red herring.
Trade reporting of over-the-counter transactions in Nasdaq-listed and other exchange-listed stocks is offered through the FINRA Trade Reporting Facility ® (TRF ®) operated in partnership with Nasdaq (“FINRA/Nasdaq TRF”) , a limited liability company operated by Nasdaq that is a facility of FINRA and subject to FINRA’s regulatory license Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility. February 28, 2020. The Alert Investor. Turbulent Markets. February 28, 2020. Regulatory Notice. FINRA Reminds Member Firms of Their Responsibilities for Supervising UTMA and UGMA Accounts.