Market Regulation Compliance Report Cards
On September 24, 1998, staff of the Market Regulation Department (Market Regulation) of NASD Regulation began making available quantitative reports for each NASD member firm concerning its compliance with trade reporting, firm quote, and best execution. The reports are being provided to firms as a compliance aid to assist them in ensuring that they are
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information
Fixed Income – Fair Pricing NEW FOR 2023
Fractional Shares: Reporting and Order Handling NEW FOR 2023
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades NEW FOR 2023
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Consolidated Audit Trail (CAT
The term "Floor" means the trading Floor of the Exchange and the premises immediately adjacent thereto, such as the various entrances and lobbies of the 11 Wall Street, 18 New Street, 8 Broad Street, 12 Broad Street and 18 Broad Street Buildings, and also means the telephone facilities available in these locations.
Amended:
June 14, 2007 (NYSE-2007-51).
Amended by SR-
For members that intend to use the ADF for trade reporting only, the charge for connecting to the ADF via a Financial Information eXchange (FIX) line shall be $500 per month.
Amended by SR-FINRA-2016-031 eff. Sep. 12, 2016.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2002-97 eff. July 29, 2002.Selected Notices: 08-57, 16-33.
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, December 26, 1994, in observance of Christmas Day, and Monday, January 2, 1995, in observance of New Year's Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
For far too long the stock market has been tilted/manipulated in favor of Wall Street. The issue is naked short selling. Despite being made illegal after the 2008–2009 financial crisis, naked shorting continues to happen because of loopholes in rules and discrepancies between paper and electronic trading systems. More often than you think great companies such as Clover Health. Clover Health was
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Friday, December 24, 1993, in observance of Christmas Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
Dec
Information on how to work with and access FINRA Data
Before any customer order is executed, there must be placed upon the order form or other similar record of the member for each transaction, the name or designation of the account (or accounts) for which such order is to be executed. No change in such account name(s) (including related accounts) or designation(s) (including error accounts) shall be made unless the change has been authorized by a
