Displaying 401 - 410 of 6498 Results
Did you mean: eddie Stone Trades ?
Regulatory Notice 09-52
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Buying and Selling
Buying and selling securities is actually very easy, thanks in large part to technology. It almost seems like you’re doing the buying and selling yourself, but a brokerage firm is. Any time you buy or sell securities you typically must first open a brokerage account.
Notice to Members 97-44
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of June 20, 1997, the following bonds were added to the Fixed Income
5260. Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts
(a) No member or person associated with a member shall, directly or indirectly, effect any transaction or publish a quotation, a priced bid and/or offer, an unpriced indication of interest (including "bid wanted" and "offer wanted" and name only indications), or a bid or offer accompanied by a modifier to reflect unsolicited customer interest, in any security as to which a
SR-NASD-2007-040
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6130, 6130A, 6130C, 6130D and 6130E to prohibit members from submitting to an NASD Facility (i.e., the Alternative Display Facility ("ADF") or a Trade Reporting Facility) any report (including but not limited to reports of step-outs and
ORF - Short Sale Volume and Transaction Data
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make one type of files available: Daily Short Sale Volume Files.
Regulatory Notice 14-46
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Understanding Settlement Cycles: What Does T+1 Mean for You?
Trade date is the day your order to buy or sell a security is executed; settlement date is the day on which funds and the securities must be delivered. Beginning on May 28, 2024, the new standard for settlement will become the next business day after a trade, or T+1.
Remarks at the STA Annual Conference
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
Notice to Members 98-70
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of June 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ABAG.GA Safety Componets Intl Inc 10.125 07/15/07 ALGX.GA Allegiance Telecom Inc 11.750 02/15/08 AMH.