This filing has been withdrawn.NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6750 to impose restrictions on the display of quotes and orders in sub-penny increments for non-Nasdaq OTC equity securities.
FINRA is issuing this OATS Report to further describe members’ OATS reporting obligations when handling orders on an agency basis.
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").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to: (1) establish an annual branch office system processing fee; and (2) waive the annual branch office system processing fee for one branch office per member per year and, as specified in the proposed rule
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
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.
