TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 10 securities will join the 880 already trading in the NASDAQ National Market System on Tuesday, May 8, 1983. (The 880 include the 50 issues scheduled to join NMS on April 17.) These securities have met the NMS mandatory designation requirements, which include an average trading volume of 600,000 shares a month for six months
Series 55 Exam Grace Period Expires May 1, 2000
On April 1, 1998, NASD Regulation, Inc., amended the National Association of Securities Dealers, Inc. (NASD®) Registration Rules regarding the qualification of representatives who trade equity securities in The Nasdaq Stock Market, Inc. and/or over-thecounter. A new qualification examination was established - the Limited Representative—Equity
OATS Phase III Frequently Asked Questions
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the Miami Stock Exchange (MIAX).
Each document’s Revision History illustrates these changes and impacted fields.
Questions regarding this notice should be sent to FINRA Product Management or call (866) 899-2107
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Executive Summary
On December 3, 1998, the
Beginning Monday, July 24, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps). FINRA will offer testing for the new bandwidth rate and will announce details for the test as the date approaches.
TDDS 2.1 subscribers are encouraged to plan to ensure their systems
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
SummaryLow-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing
Dear regulators,
I believe, the US is a free country and it should be my choice of what I want to invest into and what not, not you. I originally came from a communist country where the government and regulators controlled and regulated every citizens' life. You are starting to remind me of those days.
Why are you going to punish responsible investors like me for a few irresponsible and
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
