Beginning in early December 2022, FINRA will introduce changes to the Trade Data Dissemination Service (TDDS 2.0).1 These changes are being made in concert with FINRA’s technical infrastructure upgrade.
FINRA has made a recent change to the TDDS 2.1 MOLD/UDP 64 NTF Rendezvous Point (RP) address from 207.251.255.40 to 207.251.255.170. The new address is listed and highlighted in the
INFORMATIONAL
The PORTAL Market
Effective Date: June 16, 2001 For PORTAL Equity Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Technology
Trading & Market Making
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule in 1991:
January 1
New Year's Day
July 4
Independence Day
February 18
Presidents' Day
September 2
Labor Day
March 29
Good Friday
November 28
No member or person associated with a member shall accept an order from a customer to purchase or sell an index warrant, currency index warrant, or currency warrant unless the customer's account has been approved for options trading pursuant to Rule 2360(b)(16).
Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009.
Adopted by SR-NASD-95-37 eff. Sept. 28, 1995.Selected Notices: 95
The data elements specified in Rule 7130(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms using the trade reporting service of the System have an ongoing obligation to input such information accurately and completely.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
FINRA may suspend, condition, limit, prohibit or terminate an ADF Trading Center's authority to enter quotations in one or more ADF-eligible securities for violations of applicable requirements or prohibitions.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2006-091 eff. March 5, 2007.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Adopted by SR-NASD-2002-97
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule in 1990:
January 1
New Year's Day
July 4
Independence Day
February 19
Presidents'Day
September 3
Labor Day
April 13
Good Friday
November 24
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On November 26, 1997, the Securities and Exchange Commission (SEC or Commission) approved changes to National Association of Securities Dealers, Inc. (NASD®) rules governing trading in exchange-listed securities in the over-the-counter market (the Third Market). The amendments: (1)
By Bill St. Louis, Executive Vice President and Head of FINRA EnforcementFINRA Enforcement works on the front lines of investor protection. This blog post discusses some of the key objectives that drive this critical work.First, some brief background about FINRA and the role Enforcement plays as part of a multi-faceted regulatory program.FINRA helps ensure that everyone can participate
In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 &
