TRADING CALENDAR

Trading Hours

The NYSE and NYSE American are open from Monday through Friday 9:30 a.m. to 4:00 p.m. ET.

VIEW HOLIDAYS AND HOLIDAY HOURS

Connectivity

Simplifying Multi-Market Access With One Streamlined SFTI Connection

Simplify connectivity with Secure Financial Transaction Infrastructure® (SFTI®). Whether looking to expand into new markets, streamline multiple direct connections or find a cost-effective solution for your redundancy needs, SFTI offers an easily scalable infrastructure solution.

LEARN MORE ABOUT SFTI


FIX AND BINARY TECHNICAL SPECIFICATIONS

NYSE & NYSE American Equities

NYSE & MKT EQUITIES - NYSE CCG FIX GATEWAY SPECIFICATIONS

NYSE UTPDIRECT SPECIFICATION

UTP Direct API Notes: Routing to Broker Booth Systems and NYSE Arca is currently unavailable through the UTP Direct API.


NYSE Arca Equities, Options, and NYSE American Options

ORDER ENTRY

NYSE ARCA FIX SPECIFICATION

NYSE ARCA UGW FIX GATEWAY SPECIFICATION (EQUITIES ONLY)

NYSE ARCA UGW BINARY GATEWAY SPECIFICATION

LIQUIDITY INDICATORS (FIX)

LIQUIDITY INDICATORS (BINARY)

DROP COPY

NYSE ARCA DROP COPY FIX SPECIFICATION


SESSION REQUEST FORM AND ADDITION/REMOVAL PROCEDURES

PRODUCTION FIX/API/DROP COPY SESSION REQUEST FORM*

*You may also use the Production Session Request form to request removal of sessions.

SESSION ADDITION/REMOVAL PROCEDURES

TRADE REPORTING FACILITY

The FINRA/NYSE Trade Reporting Facility® (TRF®) provides an automated, convenient and low-cost way to report your off-exchange trades in NYSE, NYSE American, NYSE Arca and NASDAQ listed securities. The TRF is available to all FINRA member organizations that have a signed FINRA/NYSE TRF Subscriber Services Agreement.

The FINRA/NYSE TRF supports single side trade reports where the submitting party identifies its side as well as the contra side

ATS trades and riskless principal trades may be reported by utilizing a second trade report that is reported as non-media

All trade reports are validated to ensure there is a Uniform Service Agreement approved by FINRA


CLIENT MANAGEMENT TOOL

This fully interactive and secure web-based Client Management Tool (CMT) is available for input and management of trades on the FINRA/NYSE TRF. The CMT is a multi-functional tool that provides easy order entry, a summary dashboard, reporting tools and clearing functionality for TRF reports. Its highly intuitive interface is built on the same architecture as ArcaVision and the NYSE Arca Equities CMT. You can use your existing Arca CMT logon.

View, download, bust, replace and create Trade Reports going back 6 months

View, correct and re-submit rejected reports

Add and modify same day Trade Reports

Add and reverse previous day Trade Reports

Filter intraday activity by any report modifier, execution time, submission time, or party information

Summary dashboard provides point-and-click access to Excel exportable reports and previous day’s activity by clearing type, Reg NMS modifiers, or revisions

COMPLIANCE TOOLS

All trades reported to the FINRA/NYSE TRF must comply with FINRA trade reporting rules and guidance, the federal securities laws, including SEC Reg. NMS rules and all other applicable rules and regulations. The compliance dashboard and reporting tools include user defined tracking and alerts as well as a downloadable audit trail.

Dashboard: A web page that allows a user to view summary information about their trades using multiple criteria

Detail Drill Down: A more granular presentation of the information on the summary dashboard

Trade Through Alerting: Real time comparison of trade reports to NMS protected BBO

Reports: Excel downloads of the detailed information

Multiday Capability The ability to find information contained in the dashboard, drill downs and reports historically for 6 months.Provides alerts, metrics, tracking and data to TRF users and compliance officers. Key capabilities: Static and user defined alerts based on trade reporting, static and user defined alerts based on market data, historical data, downloadable data, compliance workflow manager.

CLEARING CAPABILITY

The FINRA/NYSE TRF offers users the option to have clearing submitted for them to DTCC via QSR or AGU.

FINRA/NYSETRF clearing is submitted to DTCC directly via QSR or AGU

For clearing submitted by FINRA/NYSE TRF, trade corrections are automatically processed at DTCC (pre-settlement)

Clearing method is designated on each order to allow flexibility

QSR submission by the participant to DTCC is also supported

Participants must have a valid Qualified Service Representative (QSR) agreement in place with the contra parties to report a trade where the contra party is another broker dealer


PRICING

Firms reporting an average of 100 or less trades per day during the calendar month will be charged $500. Firms reporting an average of more than 100 trades per day during the calendar month will be charged $1,000.

FINRA/NYSE TRF DOES NOT CHARGE THE FOLLOWING FEES:  
Per trade report no charge
Client management tool GUI no charge for unlimited user interfaces
Queries for a firm to review its own data no charge
“AS OF” T+N trades no charge
Canceling or Modifying a trade no charge
FIX connection no charge

In addition, FINRA/NYSE TRF will not invoice your contra parties with any charge. Therefore, there will be no NYSE fee to your customers.


HOW TO SUBSCRIBE

FINRA/NYSE TRF® SUBSCRIBER SERVICE AGREEMENT

CLIENT MANAGEMENT TOOL USER AGREEMENT FOR FINRA/NYSE TRF®


MORE INFORMATION