The effective date has been delayed to December 2, 2019
Important Note: Weekly aggregate non-ATS volume data is published on a two-week delayed basis for Tier 1 NMS stocks and a four-week delayed basis for Tier 2 NMS stocks and OTC equity securities. To align the implementation of the rule amendments for these data sets, FINRA has modified the initial publication timeframes described in footnote
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
<p>Staff interpretation on the use of electronic signatures under NASD Rules 3110(c)(1)(C) and 3010(d).<br/></p>
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
ACTION REQUESTED
Corporate Financing
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Systems
Corporate Financing
Electronic Form Filing
Executive Summary
On April 9, 2002, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD Conduct Rule 2710 (the Corporate Financing Rule
Trade Reporting Notice - 8/14/08 - Trade Reporting Frequently Asked Questions
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay, until October 31, 2007, implementation of an amendment to Interpretive Material 2210-4 ("IM 2210-4") that is scheduled to be implemented on July 7, 2007. The recent amendment to IM-2210-4 requires an NASD member referring to its NASD membership on its
Thank you for allowing the opportunity to post feedback and make recommendations to make the system fair for all traders. I feel that short interest should be reported intraday. If a stock price can be updated within milliseconds then this should be possible too. I also feel that large institutions that have over 100,000 of any stock should have to report their short positions pre and post market
GUIDANCE
Exemptive Relief from the OATS Electronic Recording and Reporting Requirements; Enhancements to the OATS Web Interface
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Training
OATS
Rule 6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78
announcing Securities and
