These report cards will help firms track their compliance with key equity trading rules related to CAT, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
TRACE Usage Reporting Policy
FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities.
Implementation will occur in two parts, starting with the
FINRA Rule 1017 requires member firms file a Continuing Membership Application (CMA) with FINRA's Membership Application Program (MAP) Group prior to implementing any material changes to the firm.
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Interpretive Material 8310-2 to postpone the effective date of recently approved changes to this Interpretive Material and the Forms U-4 and U-5.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2860 to expand the class of entities permitted to use the delta hedging exemption from equity options position limits.
