(a) The term "ADF-eligible security" means an NMS stock as defined in Rule 600(b) of SEC Regulation NMS.(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the ADF as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.(c) The term "Correspondent
Pursuant to applicable trade reporting rules, members must indicate on trade reports submitted to FINRA whether a transaction is a short sale or a short sale exempt transaction ("short sale reporting requirements"). The short sale reporting requirements apply to transactions in all NMS stocks, as defined in Rule 600(b) of SEC Regulation NMS. Thus, all short sale transactions in these
Members may use the FINRA/Nasdaq Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/Nasdaq Trade Reporting Facility must comply with the Rule 6300A and 7200A Series, as well as all other applicable rules. The&
The ninth annual Createathon, FINRA’s premiere innovation event, took place over the course of three days in late September. Over 530 staffers participated, including 32 competing teams spanning 11 departments as well as volunteers, DeepRacer competitors, and a dance troupe, to name a few.
In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 28, 2024. Please be advised that the TRFs will close early on Friday, November 29, 2024. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any
In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 28, 2024.Please be advised that the ADF will close early on Friday, November 29, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 28, 2024. Please be advised that the TRACE system will close early on Friday, November 29, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA
FINRA disciplinary actions for the month of November 2024. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
When you invest in stocks of publicly traded companies, something comes with the package—corporate actions, which may affect a company’s stock and, therefore, its shareholders. Here are six common types of corporate actions and how they might impact your investments.
There are many ways you can slice a pie and reasons why you might want to serve larger or smaller pieces, but if you go too big, the size of a piece can become overwhelming. Sometimes, the same could be said of stocks.When a stock price gets high, sometimes a public company will want to lower that price and can do that with a stock split.A stock split is a decision by a company’s board to
