TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury is soliciting comments on proposed amendments to the implementing regulations of the Bank Secrecy Act. Also known as the Currency and Foreign Transactions Reporting Act of 1970, these regulations govern the payment, receipt or transfer of currency or other monetary instruments; the export or import
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2018.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2018. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 14, 2018. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 13
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2018.
As previously announced, on Monday, April 27, 2015, FINRA will implement technical changes across all of its TRACE data feeds (BTDS, BTDS-144A, ATDS and SPDS). TRACE fixed income market data consumers must accommodate the data feed technical format changes described in each dissemination product specification by April 27, 2015 to continue to receive TRACE transactions. FINRA is also modifying
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2018.
E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.F. HUTTON & CO. LLC141 ROADRUNNER PARKWAY #141A, SUITE
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/NYSE TRF") to be established by NASD, in conjunction with NYSE Market, Inc. ("NYSE"), that would provide members another mechanism for reporting trades in exchange-listed securities
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/BSE TRF") to be established by NASD, in conjunction with the Boston Stock Exchange ("BSE"), that would provide members another mechanism for reporting trades in exchange-listed
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products to a new Linux-based operating system. FINRA requires client testing participation for this project.Trade Reporting:TRACE clients who utilize FIX for SP trade entry and other transactions should test all FIX Tags to ensure they are properly being processed
