SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The work of the NASD's Board of Governors standing committees is essential to
The FINRA/Nasdaq TRF Carteret experienced an issue on Monday, April 1, 2024 that affected a subset of users due to connectivity issues with a number of TRF ports. While the issue was ongoing, Nasdaq advised the affected firms to use the FINRA/Nasdaq TRF Chicago as an alternative trade reporting facility to submit their trade reports.1 Nasdaq was able to resolve the issue before
Do not restrict the peoples right to invest. Why did you wait for a declining market to consider this? Highly suspicious. Small investors are always subject to a rigged system against them. Why is that?
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 15, the National Market System will include 935 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
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the
Don't do this. This is not what you call "enhancement" it is "control". Educate the investors. Have brokers create warnings and disclosures. Many already are. Stop making the *free market system*, less free.
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On November 26, 1997, the Securities and Exchange Commission (SEC or Commission) approved changes to National Association of Securities Dealers, Inc. (NASD®) rules governing trading in exchange-listed securities in the over-the-counter market (the Third Market). The amendments: (1)
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
