Pursuant to FINRA Rule 6191(b)(4)(B), FINRA publishes aggregated Market Maker Profitability data on a monthly basis at no charge. FINRA does not identify the market makers that generated the data or the individual securities.
FINRA aggregates and publishes the following data categorized by Control Group and each Test Group:
market maker profitability statistics for market makers for
An investment adviser is an individual or company who is paid for providing advice about securities to their clients. The term investment adviser refers to an individual or company that is registered as such with either the Securities and Exchange Commission or a state securities regulator.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Executive Summary
In recent months, NASD Regulation, Inc., has observed instances of sharp price changes and increases in trading activity in stocks of low-priced companies. In response, NASD Regulation is issuing this Special Notice to Members to emphasize to its members their obligations to customers,
SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1994:
February 21
Presidents' Day
April 1
Good Friday
May 30
Memorial Day
July 4
Independence Day
September 5
Labor Day
November 24
Thanksgiving Day
December 26
Christmas Day (Observance)
Note: The NASD and The
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed Monday, December 25, 1989, Christmas Day, and Monday, January 1, 1990, New Year's Day. "Regular way" transactions made on the business days
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Thursday, November 23, in observance of Thanksgiving Day. "Regular way" transactions made on the business days noted below will be subject to
Agreements
Subscriber Agreement Information (Terminals & Snapshot Data)
Subscriber Agreement v 7.2
Subscriber Agreement Comparison v 7.1 to 7.2
Subscriber Packet v 7.2
Subscriber Packet Comparison of Versions 7.1 to 7.2
Completed agreements can be sent electronically to TRACE Data Services.
Related Products
Real-Time Data Information
Additional Information
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Good Friday, March 24, 1989. "Regular way" transactions made on the business days immediately preceding that day will be subject to the
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, February 20, 1989, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm Governor — John Vaccaro, Chair and CEO, MML Investors Services; Head of MassMutual Financial Advisors; Mid-Size Firm Governor — James Crowley, CEO, Pershing Advisor Solutions; Senior Executive Vice President, Global Head of BNY Pershing Small Firm Governor — Jennifer Szaro, Chief Compliance Officer, XML Securities
