NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through January 25, 2008, the current rules regarding the use of multiple Market Participant Symbols ("MPIDs") in NASD Rules 4613A (with respect to the Alternative Display Facility ("ADF")) and 5140 (with respect to Trade Reporting Facilities
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T 220.8 and SEC Rule 15c3-3(m) and (n)margin extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
TRACE Academic Waiver Policy
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 to codify NASD's existing interpretive guidance relating to certain provisions of the rule and to make several non-substantive, technical changes to clarify the rule's intended meaning.
Effective with the October 3, 2011 OATS Release, the OATS Rules will require member firms to report to FINRA order information for all NMS stocks and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.
On August 18, 2008, BATS Trading ("BATS") announced that it had received approval from the Securities Exchange Commission to operate a stock exchange, BATS Exchange, Inc.
The content outline has been established by FINRA and NFA for use by firms in developing their Firm Element training programs. The outline contains five modules or segments: (1) Stock and Stock Options; (2) Futures Contracts; (3) Security Futures Products; (4) Regulatory Requirements for Security Futures; and (5) Supervision of the Offer and Sale of Security Futures. You may also access an online
The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period.
Customer and Industry Code Deadlines
