Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS DECEMBER 31, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed new Article III, Section 42 of the NASD Rules of Fair Practice. The proposed new rule would prohibit NASD members from effecting, directly or indirectly, over-the-counter transactions in a security as to which a trading
In observance of Martin Luther King, Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 20, 2025. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface
To FINRA, Timely and accurate reporting of all positions is paramount to the success of a trader. We use this information daily to assess the markets and to formulate strategies. All proposed changes need to be forward thinking, so we may operate in a 21’st century marketplace. We need more data to accurately predict market movements. You need to provide us with as much accurate and timely data
At the end of this tutorial, you should be able to set up a generic JS project using Angular and Grunt as a task runner. The project should be able to unit test, generate test coverage report, and minify the source codes with minimal configuration. This guide can help developers who are unfamiliar with JS frameworks and tools to start learning.
Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files; and (2) Monthly Short Sale Transaction Files (collectively, the Short Sale Files).
The
The Series 57 exam — the Securities Trader Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a securities trader representative.
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
« Previous: How to ApplyThe Membership Application Program (MAP) Group has a dedicated front-line team of analysts (the Triage Group) to conduct an initial assessment of each New Member Application, Continuing Membership Application, Materiality Consultation, Membership Agreement Change and Two Principal Waiver.During this initial assessment, the Triage Group evaluates
