As of 11/16/2021, Jane Street (MPIDs: JSCA and JSEB) is no longer a registered ADF Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF). For any questions, please contact FINRA Business Services at (212) 858-4342.
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
INFORMATIONAL
Riskless Principal Trade Reporting
Riskless Principal Trade-Reporting Rules Will Be Implemented On February 1, 2001
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualifications
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Technology
Trading & Market Making
Training
Riskless Principal
Trade Reporting
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
To whom it may concern, FINRA 21-19 will be an effective change that should've been implemented long ago to end the systemic risk involved in the current inadequate state of short-interest reporting. American and global investors are looking at the state of the American market and find themselves uncertain about the validity of the reported numbers when various short positions are
