Arbitrator List Selection Method for Intra-Industry Disputes
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A)(vii) of the NASD to make permanent the Association's Equity Option Hedge Exemption, which has been operating as a pilot program since 1990.
FINRA Gateway - Exam Requests
OATS Expansion to all NMS Stocks Road Shows.
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A) of the NASD to triple the position limits on standardized (exchange-traded) equity options and make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security.
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).
This free, 90-minute online training session focused on the features and functionality of the TRAQS website for TRACE reporting. It introduced users—especially staff with limited exposure to TRACE—to TRAQS and how the functionality can be utilized for TRACE reporting and management of reported transactions.
Instructions for Requesting Entitlement to the Information Requests Application in the Firm Gateway
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make one type of files available: Daily Short Sale Volume Files.
