This specification describes the message formats for The Nasdaq Stock Market, Inc., Computer-to-Computer Interface to disseminate TRACE trade reporting data.
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
This page contains technical information about filing Regulation T, SEC Rule 15c3-3, and FINRA Rule 4210-related extensions requests using the REX system.
Direct Edge received approval from the Securities Exchange Commission to operate two stock exchanges, EDGA Exchange Inc. and EDGX Exchange Inc. Direct Edge plans its transition from ECN to Exchange to take place on a security-by-security phase-in approach over a period of weeks commencing May 12, 2010.
FINRA released a new edition of the OATS Reporting Technical Specifications dated March 15, 2010. The changes described in this edition of the OATS Reporting Technical Specifications will be available in the OATS Production environment on April 26, 2010 and will be available in the OATS Certificate Test environment on April 12, 2010.
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6730 to require alternative trading systems (“ATSs”) that report transactions in U.S. Treasury Securities to the Transaction Reporting and Compliance Engine (“TRACE”) to identify non-FINRA member subscribers on those transaction
Notice of Special Meeting of Large Firms and Proxy
eFocus Filing Transmission
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
