NASDR has filed with the SEC a proposed rule change to Schedule A to the NASD By-Laws and Conduct Rule 2710 of the National Association of Securities Dealers, Inc. to simplify the fee structure for public offerings filed under Rules 2710, 2720, and 2810.
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.
Summary
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS). As amended, a member ATS may apply for the exemption for transactions between a member subscriber and a non-member entity
Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
NASDR has filed with the SEC a proposed rule change to amend NASD Books and Records Rule 3110 and NASD Order Audit Trail System Rules 6954 and 6957 to (1) require members to record certain information when an order is transmitted to a non-member; (2) explicitly detail the record- keeping requirements that will apply to OATS data; (3) require members to record and maintain information related to
NASDR has filed with the SEC a proposed rule change to amend Rule 1032(f) of the NASD to change the date by which registered representatives who currently trade equity securities in the Nasdaq Stock Market (Nasdaq) and/or over-the-counter must apply for Equity Trader registration.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1015, 9261, 9341, 9524 and 9830 and Funding Portal Rule 900 to allow for video conference hearings before the Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) under specified conditions.
As an AMC GME APE I demand market transparency! Same day reporting is doable with the technology. End PFOF and Ban Dark Pools! Citadel Securities Scandal CEO Ken Griffin should be arrested immediately ORTEX should be releasing information to the public for free Enforce the rules that you already have in order SEC Rule 304(a) (4): Suspension, Limitation, or Revocation to the Exchange Link to rule
