Executive Summary
Effective April 1, 1996, tier sizes for 1,024 Nasdaq National Market securities will be revised in accordance with Paragraph 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules 6951, 6954 and 9610 and to add a new Rule 6958. The proposed rule change would: (1) provide that the time of order origination and receipt for an electronic order is the time the order is captured by a member's electronic order-routing or execution system,
FINRA provides dispute resolution services for several exchanges that are not able to staff or operate a dispute resolution program. These services include administration of the exchange's member-member, member-investor and member-employer securities-industry related disputes.
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
June 29, 2001
To ensure OATS works effectively, order data must be reported accurately and timely. The NASD Market Regulation Department recommends the following guidelines to aid member firms in their responsibility to properly report order data to OATS.
Ten Preventive Compliance Tips:
Review the OATS Web interface daily to ensure all files have been accepted.
Review the Web Site
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
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.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to amend Rule 7010(k)(3)(A)(ii) to offer the ability to receive, for a reduced fee, a "snapshot" of real-time TRACE transaction data ("
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2220 (Options Communications with the Public) to reflect current options communications practices and promote consistency across the options communications rules of other self-regulatory organizations ("SROs").This rule filing was withdrawn and
