NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish July 10, 2006 as the effective date of the amendments to NASD's Order Audit Trail System (OATS) rules approved by the Commission on September 28, 2005 and March 30, 2006.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 3, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,788. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I shouldn't have to go through any special process like passing a test before you can invest in public securities, investing in public funds is a right and testing knowledge is akin to a poll test.
In 2002, FINRA Dispute Resolution became concerned about the length of time it takes to resolve arbitrations involving senior or seriously ill parties.
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
As part of its multi-year Digital Experience Transformation, FINRA is using an API Developer Center (developer.finra.org) to support automation. The API Developer Center website includes information designed to assist clients interested in using API technology to gain access to OTC Transparency data. The available API endpoints provide a mechanism to retrieve this data using a machine-to-machine
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
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.
TRACE research performed up until this point has been done on an independent basis by academics and researchers who used objective methodology in order to achieve their conclusions. These studies have concentrated on United States-based corporate bond data and what, if any, the impact of TRACE has been on liquidity and transparency.
