Regulatory Transaction Report
Verify your Securities and Exchange Commission (SEC) Regulatory Transaction Fee obligations for FINRA/NASDAQ Trade Reporting Facility (TRF) trades by subscribing to daily reports containing internalized trade data reported to the FINRA/NASDAQ TRF.
Features and Functionality
File Format: ASCII text file delimited by commas (.csv). Note: File when initially downloaded is compressed into a self-extracting file (.exe) due to the large amount of data.
Available to self-clearing organizations that are billed for clearing trades.
Regulatory Transaction Fee support files for all executions in NASDAQ-listed securities on the NASDAQ Market Center and BRUT are made available to clearing firms via a secure website on the InfoCenter web product on a monthly basis. Any clearing firm needing a secure account to access this data should email their request to Subscriber Services.
- 25 reports - $25.00 per month, per user