Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000D Series relating to fees and credits for the Trade Reporting Facility (the "NASD/BSE TRF") established by NASD and the Boston Stock Exchange ("BSE")
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make conforming changes to the transaction reporting rules relating to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") consistent with the new requirements of Regulation NMS under the Act.
FINRA is aware of the Log4J vulnerability and has taken immediate steps to neutralize the risk. The mitigation tactics deployed by FINRA include defining alerts for exploit attempts, implementing web application firewall (WAF) rules designed to prevent exploitation of the vulnerability, conducting scans to confirm WAF rules are working as expected, and beginning to update Log4J libraries
Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt a new Rule 3150 to require all members that are clearing firms to report certain data to the NASD Regulation Department of Member Regulation on a daily basis.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000C Series relating to fees and credits for the Trade Reporting Facility (the "NASD/NSX TRF") established by NASD and the National Stock Exchange ("NSX").
SEC Approves New Requirements for Alternative Trading Systems
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine (“TRACE”) transaction data to: (i) terminate the Bond Trade Dissemination Service (“BTDS”) Internal Usage Authorization Fee and the BTDS External Usage Authorization Fee and, in lieu of both fees,
