HomeRules & RegulationEnforcementEducation & ProgramsRegulatory SystemsArbitration & MediationInvestor Information
ADF | CRD | IARD | INSITE | IPO Distribution Manager | OATS | FCS | FINRA Entitlement Program | Report Center | Regulation Filing Applications | Regulation NMS | TRACE | TRF | Web-Based FOCUS | Web COBRADesk | Web IR
spacer image
spacer image
spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image
 
Search
Powered by Google

ADF

Home > Regulatory Systems > ADF > Notice to Members
spacer image Logo

ADF Notice to Members

 

  • NTM 07-23: NASD Trade Reporting Requirements Related to Regulation NMS

  • NTM 06-42: Pilot Program to Permit Additional Market Participant Identifier Functionality on the Alternative Display Facility

  • NTM 05-33: Short Sales in Pilot Securities and Order-Marking Requirements under SEC Regulation SHO

  • NTM 05-30: SEC Approves New Pilot Rule Giving NASD Authority to Receive and Review Complaints against NASD Market Participants that Allege Denial of Access to Their Quotes in the Alternative Display Facility; Compliance Date: May 26, 2005

  • NTM 02-45: Alternative Display Facility (ADF) Nine-Month Pilot Approved for Trading in Nasdaq Securities (07/29/02)

  • NTM 02-01: Rule Proposal Regarding Nasdaq Separation And The Alternative Display Facility (12/28/01)


These documents are available as Portable Document Format (PDF) files. If you do not have the Adobe® Acrobat Reader to view PDF files, please download the free plug-in. PDF items will open in a new browser window.