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.
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.
In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1(b) of Schedule A to the FINRA By-Laws to exempt from the Trading Activity Fee (“TAF”) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
The earlier issue which affected The FINRA/Nasdaq TRF1 Carteret has been resolved. Please refer to the Nasdaq Trader notice posting relating to this problem and its status.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
The FINRA/Nasdaq TRF1 is currently experiencing an issue which is causing rejects from the FINRA/Nasdaq TRF Carteret. Please refer to the Nasdaq Trader notice posted relating to this problem.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
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:
