October 26, 2014
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OTC Reporting Facility Short Sale and Short Sale Exempt Trade Report Billing Adjustment

Overview

Member firms that submitted trade reports designated as “sold short” or “sold short exempt” to the OTC Reporting Facility (ORF) from January 3, 2011, to January 27, 2012, using the Financial Information eXchange (FIX) protocol may be eligible for a billing adjustment.

If your firm used the FIX protocol to submit short sale or short sale exempt trades from January 3, 2011, to January 27, 2012, and used invalid data combinations which resulted in an interpretation that did not reflect the parties' intention, your firm may be eligible for a billing adjustment.

To request a billing adjustment, firms must submit supporting documentation to FINRA by November 23, 2012. For additional information, please see the FINRA Website





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