Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Every investor should have access to the following data(In real time whenever available) -Updates on short interest data -Settlement on transactions - Failure to deliver data -Synthetic short data (so called naked shorts) -13F filings for short positions Additionally the following practices should be either be made illegal or become significantly more regulated * Single side dark pool trading
The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of October 25, 1993, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,325:
Symbol
Company
Entry Date
SOES Execution Level
TBAY
Gotham Apparel Corp.
9/27/93
1000
BPIX
Broadcasting Partners, Inc. (Cl A)
9/28/93
1000
COSB
CSB Financial
Proposed Rule Change Relating to Capacity Management Plan
