TO: All NASD Members and Other Interested Persons
ATTN: Trading and Operations Personnel
The Securities and Exchange Commission recently approved amendments to Schedules D and G of the NASD By-Laws that will require real-time trade reports in NASDAQ National Market System securities and listed securities traded off-board to include a buy, sell or cross indicator. To report this information,
GUIDANCE
Branch Office Registration
Effective Date: October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Branch Office Registration
Central Registration Depository
(CRD® or Web CRD)
Form ADV
Form BR (Uniform
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved several proposed rule changes by the NASD concerning trading in exchange-listed securities by NASD Consolidated Quotation System (CQS) market makers.1 Specifically, the following rules will be effective on October 31, 1994:
All CQS
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Short Sale Volume provides the public with aggregated short sale volume by security for all publicly-disseminated short sale trades executed off-exchange and reported to a FINRA Trade Reporting Facility (TRF), Alternative Display Facility (ADF) or Over-the-Counter Reporting Facility (ORF).
View Data
About the Data
Data Description
Short Sale Volume data contains aggregated volume
(a) No member shall permit a customer to engage in extended hours trading unless the member has furnished to the customer, individually, in paper or electronic form, a disclosure statement highlighting the risks specific to extended hours trading. In addition, any member that permits customers either to open accounts on-line in which such customer may engage in extended hours trading or to
To-Be-Announced (TBA) security data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
Data field
Definition
Why we share this data
Coupon Rate
A coupon rate is the annual interest
(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, and any retail communication (as
