On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on
(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on whose behalf such paper was prepared or by his or her counsel or representative.
(b) How Served
The Parties shall serve documents by electronic mail, unless an alternative method of service is ordered by the Adjudicator.
Please stop shutting down our capitalist system. Do not take away the citizen's right to invest in any fund we wish. I myself am well aware of the risk found in "leveraged and inverse funds" which is why I use it as a hedge against a market downturn, and I only use a small fraction of my portfolio for my inverse funds. I do not need to take a test or exam to prove I know what I am
The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals.
I would be categorized as a "retail" trader. The assumptions being made in this proposal are insulting, it wrongly assumes so called retail traders are uneducated in many of the products named in this proposal. The assumption non-professional traders lack understanding of these products is not what I see on a daily basis. I trade with hundreds of other traders in a Discord chat room and
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
On June 18, 2003, the Securities and
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Rule 7000 Series (Charges for Services and Equipment) to delete references to systems and services that will no longer be provided by NASD upon the operation of NASD's Alternative Display Facility (the "ADF") for non-Nasdaq exchange-listed
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of November 20, 1995, the following 76 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,946:
Symbol
Company
Entry Date
SOES Execution Level
ARGL
Argyle Television, Inc. (Cl A)
10/24/95
1000
ETEC
Etec
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
