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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Viewer Allowances in TRACE - FINRA
[ by Howard Haykin ]
FINRA reminds firms that access to CUSIP identifiers in the TRACE Daily List and TRACE Security Scan functions available on the FINRA TRACE secure website is regulated by terms stipulated by CUSIP Global Services.
Viewer Allowances. The TRACE Daily List and TRACE Security Scan functions allow a user to view securities within the TRACE system, and to download the information. Users can filter a request to view a specific subset of securities or can choose to view all securities presently in the system. One of the specific data elements contained in the displayed information is the security CUSIP identifier.
All TRACE users have the ability to view individual CUSIP identifiers in the Security Scan and Daily List functions in TRACE.
- However, firms who want access to the download (CSV export) capability of CUSIP identifiers through TRACE must have a valid license with CUSIP Global Services.
- Firms that do not have a valid CUSIP license can export all other information from those screens, except the CUSIP identifier.
FINRA grants permission to firms to download CUSIP identifiers in TRACE based on the information the firm provides to FINRA Market Operations about the status of its CUSIP license. CUSIP licenses are not negotiated with FINRA but directly with CUSIP Global Services.
FINRA Contacts. Direct questions re: your TRACE permissions to FINRA Market Ops at (877) 776-0800.
For further details, go to: [ FINRA TRACE Announcement, 5/16/13 ].
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