The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications.
SUGGESTED ROUTING
Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
My comments submissions are: 1. The purpose of this change is to improve transparency within the market to counter fraudulently or bad actors having the ability to circumvent reporting mechanisms for their own gain, and often the loss that retail investors suffer as a result when operating within the market. This premise should underpin how all comments are reviewed and revisions incorporated. 2
SUGGESTED ROUTING:*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Since November 1990, members have been able to negotiate transactions through the SelectNetSM
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 14, 1990, the following 21 issues joined NASDAQ/NMS, bringing the total number of issues to 2,658:
Symbol
INFORMATIONAL
Auditor Independence
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Auditor Independence
Executive Summary
In November 2000, the Securities and Exchange Commission (SEC) completed a comprehensive review of outside services that auditors provide to their audit clients, and as a result, amended the
The data elements specified in Rule 7230B(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7230B(d) information accurately and completely.
Renumbered from Rule 7260C and amended by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-
Rubyna Haslani Zito is a Senior Vice President of Technology Operations and Services and the Chief of Staff to the CIO at FINRA (Financial Industry Regulatory Authority). She manages Technology Operations and Services that include Technology Compliance Office, Training, Communications, Reporting, Space planning and redesign, as well as financial planning and budgeting. Her responsibilities as
The RegTech Association is a non profit, global industry association representing 160 organisations across the RegTech spectrum including banks, financial institutions, intermediary service providers, large tech and 120 RegTech companies. We work closely with regulators like FINRA to surface the discussions, promote the benefits of initiatives such as the Machine Readable Rulebook that lead to
