(a) For purposes of applying any provision of the Rule 7600A Series that reflects a charge assessed, or credit provided, by the FINRA/Nasdaq Trade Reporting Facility, a member may request that the FINRA/Nasdaq Trade Reporting Facility aggregate its activity with the activity of its affiliates.
(1) A member requesting aggregation of affiliate activity shall be required to certify to the FINRA/
The Commodity Futures Modernization Act of 2000 ("CFMA") lifted the ban on the trading of security futures, i.e., single stock and narrow-based stock index futures ("security futures"). Because they are subject to regulation both as securities and as futures contracts, security futures must be traded on trading facilities and through intermediaries that are registered with
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
Executive Summary
The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
When reporting to OATS, Reporting Members are required to provide a "Received Method Code" on order events including New Order Reports (NW), Cancel/Replace Reports (CR), Combined Order/Execution Reports (OE), and Combined Order/Route Reports (OR).
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:
Monday, December 26, 2022 Closed
Monday, January 2, 2023 &
INFORMATIONAL
NASD Holiday Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Schedule
The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 2001:
January 1
New Year's Day
January 15
Martin
Some of the key responsibilities of an SAA are to ensure that access is appropriate and required as well as remove access for users who no longer need it—either because of changes in job duties or termination with the firm.
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 21, 2022. 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 specifications,
The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service. This service provides authorized users the ability to access these systems with a single FINRA User ID and Password. Currently, there are more than 20 FINRA applications available via this shared entitlement platform and more applications will be added in the future.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the first quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 23, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 22, 2023 as the
