FINRA operates systems that help member firms comply with reporting requirements and facilitate transparency in the applicable markets.
Alternative Display Facility (ADF)
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554
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Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
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Executive Summary
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
FINRA Rule 4554 states that if for any reason an ATS uses a NBBO source other than the one that was reported on its ATS OATS data submission, the ATS must notify FINRA via e-mail that an alternative source was used to obtain the NBBO
Comment Period Expires September 30, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Firms can file communications for review via Advertising Regulation Electronic Files (AREF), an online application. In addition, firms can use AREF to view, print and save the department’s review letters. <a class="btn" href="/">test</a>