Correction - On page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES should read: The SOES rules currently contain a specific provision, NASD Rule 4720(c)(4), that requires SOES order entry firms to maintain the physical security of Nasdaq equipment located on the premises of the firm to prevent unauthorized entry of information into SOES.
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Release DateSystemAreaDescriptionApril 25, 2025FINRA GatewayIndividual ProfilesStatutory Disqualification (SD) status is not displayed for some Individuals. With this fix, the SD status will be displayed for all applicable Individuals.April 13, 2025FINRA Gateway and CRDAllNYSE Chicago, Inc. (NYSE-CHI) Renamed NYSE Texas, Inc. (NYSE-TEX) in FINRA’s Registration Systems. For more information about
Weighted-Average Price/Special Pricing Formula Trade Modifier
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
<p>NASD Rules 6950-6957 (OATS)</p>
Rule Filing Status As Of July 7, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are either pending at the Securities and Exchange Commission (SEC) or recently have been approved by the SEC and have not been announced in a Notice to Members. The information is current as of July 7,
Thank you, Elisse, and thank you all for being here tonight. I am honored by your presence. Over the years, I've learned that the most precious commodity these days is time, so I am very grateful that you have taken the time to be here this evening.
SEC Approves Exception to Three Quote Rule and Related Recordkeeping Requirements for Certain Foreign Securities
Staff grants exemption from the Short Sale Rule for certain transactions executed through a member's passively-priced trading system.
April 3, 2007
Mr. Louis J. Karcher
Principal & Chief Compliance Officer
Pipeline Trading Systems LLC
60 East 42nd Street, Suite 624
New York, NY 10165-0006
Re: NASD Rule 5100: Request for Exemptive Relief
Dear Mr. Karcher:
This is in
