As announced in the December 15, 2008 OATS Reporting Technical Specifications, the Limit Order Display Indicator on the New Order, Combined Order/Route, Combined Order/Execution and Cancel/Replace reports is being renamed the “Customer Instruction Flag” to better reflect the purpose of the field.
Various state statutes provide for speedy trials in civil actions involving seniors or seriously ill parties. FINRA recognized a need for expedited hearings in arbitrations involving such parties in its dispute resolution forum.
Tips, system visual aids, user manuals, and other tools that should aid smaller member firms in the usage of Web CRD System-related registration activities
FINRA Market Data Policies for TRACE data vendors/subscribers.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2005, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Interpretation" or "Manning").
FINRA has updated its equities and fixed income transparency services participant agreement and has also created an amendment to the agreement.
Membership Application Time Frames
Executive Summary
The Central Registration Depository (CRDSM), a computerized database containing information on all licensed registered representatives and broker/dealers, is undergoing a technological upgrade. As part of this project, the NASD has converted disclosure information from its current state (free text) into a new format (Windows-based, with discrete fields and pick lists). This
