FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
CORP: Non-Convertible Corporate Bonds
CONV: Convertible Corporate Bonds
CHRC: Church Bonds
ELN: Equity Linked Notes
AGCY: Agency Debentures
ABS: Asset Backed Securities
CMO: Agency and Non-Agency Collateralized Mortgage Obligations (CMO's) / Real Estate Mortgage Investment Conduits (REMIC's)
MBS: Agency Pass-Through Mortgage Backed Securities Traded in Specified Pool Transactions
TBA:
Weighted-Average Price/Special Pricing Formula Trade Modifier
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying
This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
(a) Alternative Trading Systems' Recording Requirements
(1) Each alternative trading system that accepts orders for security futures (as defined in Section 3(a)(55) of the Exchange Act) shall record each item of information described in paragraph (b) of this Rule. For purposes of this Rule, the term "order" includes a broker-dealer's proprietary quotes that are
(a) General
(1) Applicability — This Rule 2350 Series shall be applicable to the extent appropriate unless otherwise stated herein, to the conduct of accounts, the execution of transactions, and the handling of orders in exchange-listed stock index warrants, currency index warrants, and currency warrants by members who are not members of the exchange on which the warrant is listed or
