ADF Regulatory and Trade Reporting Notice

January 2014

14-04 SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Effective Date: February 3, 2014
Posted on: 1/31/2014

October 2010

10-48 Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
Posted on: 10/12/2010

August 2006

06-42 Pilot Program to Permit Additional Market Participant Identifier Functionality on the Alternative Display Facility
Posted on: 8/15/2006

August 2002

02-45 Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities
Posted on: 7/29/2002

April 2005

05-33 Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO
Posted on: 4/28/2005
05-30 SEC Approves New Alternative Display Facility (ADF) Pilot Rule Giving NASD Authority to Receive and Review Complaints Alleging Denial of Access to an ADF Market Participant Quote;
Compliance Date: May 26, 2005
Posted on: 4/26/2005

January 2002

02-01 Rule Proposal Regarding Nasdaq Separation and the Alternative Display Facility.
SEC Comment Period Expired January 21, 2002
Posted on: 12/28/2001