SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of May 13, 1991, the following 28 issues joined Nasdaq/NMS, bringing the total number of issues to 2,540:
Symbol
Company
Entry Date
SOES Execution Level
PNRL
Penril DataComm Networks, Inc.
4/15/91
1000
BTRE
Brooktree Corporation
4/17/
FINRA provides these resources to assist member firms with managing and addressing potential risks and threats that may pose harm to their business, compliance programs and investors, including:highlights of recent risks observed in FINRA’s regulatory programs;observations from recent targeted exams (sweeps) on emerging industry issues and related regulatory obligations; andFINRA resources, that
Regulators should not be deciding investment strategies for families. They should be making it easier for these families to invest smaller amounts of money in the market. It's high time all investors regardless of their income be allowed to purchase fractional shares.
They shouldn't be imposing special processes like testing investor knowledge of ETFs but rather guide a
June 27, 2003NASD is publishing this article to provide guidance to members regarding their Order Audit Trail System (OATS) reporting requirements when using more than one market participant identifier (MPID) to display or execute OATS reportable orders.1 If a firm elects to use more than one MPID, the firm must continue to submit its OATS data to NASD in the format prescribed in both the OATS
Eliminate dark pools Fines should be greater than the profit hedge made from the illegal activity Jail time is needed for market manipulation. Short positions should be forcibly closed out if illegal market manipulation is found and trading rights of those involved should be revoked. Shorting taking place in the dark pool needs to be disclosed to the public. If an institution buys shares in the
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 5, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,052:
Symbol*
Company
Location
CPBI
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 49 issues will voluntarily join the NASDAQ National Market System on Tuesday, November 22, bringing the total number of NMS securities to 635. These 49 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 49
June 21, 2002
NASD will begin providing statistical reports to members for orders electronically routed to a Nasdaq Execution System (NES) for which OATS was not able to match the OATS Route Report to the related NES order (i.e., SuperSOES, SOES, and SelectNet orders). These statistics will be provided on a new report titled the NES Unmatched Route Report that will be available beginning with
Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
I'd like to see the market have more transparency of shorts. In today's day and age, there should be 8-15 days to see a company's short percentage. The market information should be available to all investors no matter their size. Also, I feel that the "dark pool" system should be abolished. It too can possibly create uncertainty in the market. Thank you.
