(a) Any member that is required to obtain, or otherwise wishes to use, more than one Market Participant Symbol ("MPID") for purposes of quoting and trading OTC Equity Securities or for reporting trades to the OTC Reporting Facility must submit a written request, in the form required by FINRA, to, and obtain approval from, FINRA Market Operations for such additional MPID(s).
(b) A
FINRA may at any time authorize the use of the FINRA/NYSE Trade Reporting Facility on a test basis for whatever studies it considers necessary and appropriate.
Renumbered from Rule 6330C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2007-011 eff. April 18, 2007.Selected Notice: 08-57.
FINRA may at any time authorize the use of the FINRA/Nasdaq Trade Reporting Facility on a test basis for whatever studies it considers necessary and appropriate.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2006-104 eff. March 5, 2007.
Adopted by SR-NASD-2005-087 eff. Aug. 1, 2006.Selected Notice: 08-57.
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. FINRA and its information providers do not guarantee the accuracy, completeness or timeliness of the data. Individuals should not make investment or other financial decisions solely on the basis of this data. Use of this site is subject to the
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. FINRA and its information providers do not guarantee the accuracy, completeness or timeliness of the data. Individuals should not make investment or other financial decisions solely on the basis of this data. Use of this site is subject to the
GUIDANCE
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Systems
Trading
Alternative Display Facility
IM-4613A-1
Multiple Market Participant
Identifiers
Registered Reporting ADF ECNs
Rule 4613A
Executive Summary
On August 8, 2006, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
IM-6660-1NASD Rule 6660OTC
Equity SecuritiesQuotationsTrading Halts
OTC Equity Trade and Quote Halt Codes
Executive Summary
On December 18, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 6660 to expand the scope of NASD's authority
