FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the Miami Stock Exchange (MIAX).
Each document’s Revision History illustrates these changes and impacted fields.
Questions regarding this notice should be sent to FINRA Product Management or call (866) 899-2107
NASD has filed with the SEC a proposed rule change to amend NASD’s Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") to remove The Nasdaq Stock Market, Inc.’s ("NASDAQ") representation of NASD in the NASDAQ/Unlisted Trading Privileges Plan ("UTP Plan").
When investing in your 401(k) or other retirement savings account, target-date funds, also known as life-cycle funds, are one popular option. You pick a fund that is dated around when you plan to retire, and that fund promises to rebalance as you approach that date.
NASD has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
(a) If a party is added to an arbitration after the Director sends the lists generated by the list selection algorithm to the parties, but before the ranked lists are due to the Director, the Director will send the lists to the newly added party, and for each arbitrator listed, a disclosure report containing employment history and other background information. The newly added party may rank and
(a) Respondent(s) must serve each other party with the following documents within 45 days of receipt of the statement of claim:
(1) Signed and dated Submission Agreement; and
(2) An answer specifying the relevant facts and available defenses to the statement of claim.
The respondent may include any additional documents supporting the answer to the statement of claim. Parties that fail to
December 19, 2002
NASD began posting each member's NASDAQ Execution System Order/Route Matching statistics on the OATS Web interface on November 1, 2002. These statistics reflect the percentage of OATS Route Reports and/or Combined Order/Route Reports with a Routing Method Code of "U" (SuperMontage) or "L" (SelectNet) that OATS was able to link to the related order in
ONNX Store, a Phishing-as-a-service platform (PhaaS), is targeting Microsoft 365 (M365) accounts at FINRA member firms with an advanced social engineering attack known as quishing: a business email compromise (BEC) attack that uses QR codes in embedded PDF documents to redirect victims to phishing URLs.
I have been investing in TQQQ for 5 years now. I use a quarterly rebalancing method that has benefitted from TQQQ's high degree of volatility. When it is high, I sell off a portion. When it is low, I buy more shares with the money set aside in bond funds for this purpose. I understand the risks associated with this product and trade accordingly. I recognize the possibility of losing
Give your standard disclosures. Bring back the short sale rule! Keep the auto close for severe drops on the indexes. Go after the cook the book companies, and the insider trading crooks but do not deny the independent traders,investors or institutional financial firms the ability to hedge or out gain the standard index. The great thing about the United States is that one can take risk to possibly
