TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 15, the National Market System will include 935 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 17, the National Market System will include 881 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 49 issues will voluntarily join the NASDAQ National Market System on Tuesday, November 22, bringing the total number of NMS securities to 635. These 49 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 49
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join the NASDAQ National Market System on October 18, bringing the total number of NMS securities to 571. These 50 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 50
The Reg BI and Form CRS topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
With the technology today and the money that's being made in the markets by all parties, except for retail traders who get the shaft when it comes to getting "free" trades. Even by the sanctioning bodies that are supposed to over watch all of it's "members" and the standards upon which they are held, are not doing their jobs. Not REQUIRING that all members to report
I'm a retail investor from Sweden who's been an investor in AMC since January 2021. AMC is the owner of Sweden's largest cinema chain (Filmstaden) and I found it important to try and help a struggling company to survive. Little did I know that short sellers with seemingly endless liquidity tried the exact opposite: to bankrupt the company through short selling and driving down the
At FINRA, you can help power a fair and vibrant market, improving investing for all. As a FINRA employee, you join a committed and talented team of industry leaders who help maintain market integrity and protect investors. Our mission-driven organization oversees more than 634,000 brokers across the country, analyzes billions of daily market events, innovates with AI and machine learning technologies, and works together to ensure fair and vibrant capital markets within the United States.
As announced by The Options Clearing Corporation (OCC) and the national options exchanges, due to the National Day of Mourning on January 9, 2025, the Contrary Exercise Advice (CEA, also known as “Expiring Exercise Declaration” or EED) cut-off time for options that expire on January 9, 2025, will be modified as follows:Option holders will have until 10:00 a.m. Eastern Time (ET) on January 9, 2025
