ul.rulebook{list-style-type:none;padding-left:0px;}
ul.rulebook ul.rulebook{list-style-type:none;padding-left:30px;}
ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:60px;}
ul.rulebook ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:90px;}
ul.rulebook li{margin-top:20px;text-transform:uppercase;font-weight:400}
#tab-links, .book{display:none;}
PART I
.view-content div div span h2
{
font-weight:500;
margin-top:40px;
}
.view-header h2
{
font-size:3rem;
color:#999999;
font-weight:250;
border-top:2px solid #cccccc;
margin-top:15px;
padding-top:15px;
}
@media print {
footer {page-break-after: always;}
.block-block-content13129ca4-9a12-445a-8240-396c465d4de4{display:none;}
}
Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
June 29, 2001
Below is a list of fields and accepted values that are reported to OATS on the New Order Reports. Please compare the accepted values listed for the fields below with your traders and technical staff to verify that your procedures and systems comply with the information provided below.
Received Method Codes
Indicate whether the order was received electronically or non-
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Activities requiring registration as an Equity Trader.<br/>
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
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 of its own organizational structure.
As of July 22,
