The table below provides a reference description for all of the elements found for ATS Cross Manipulation exceptions identified during the month.
Summary Report
Term
Definition
Total ATS Cross Exceptions
The total number of alert-eligible ATS Cross exceptions for the focus firm during the Surveillance Review Period. NULL values indicate that
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
Notice of FINRA District Committee Election and Ballots
These report cards assist NYSE-reporting firms in monitoring compliance with NYSE Rule 123(e) and (f), which requires NYSE-reporting firms—immediately after receiving an order on the floor—to submit the order information to the FESC database before the orders are represented on the floor.
The following commercial vendors have successfully completed FINRA's Electronic Fingerprint Submission (EFS) certification testing from a technical standards perspective only. The vendors listed below currently are certified to participate in EFS. The list is intended to be used as a resource only. FINRA does not endorse or recommend any of the vendors on the list. Please note that broker-
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA's NYSE Rule 342.13 (Acceptability of Supervisors) to eliminate the requirement that the General Securities Principal Examination ("Series 24 Examination") be passed
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Interpretative Material 9216 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)) (“IM-9216”) to expand the list of violations eligible for disposition under NASD’s Minor Rule Violation Plan (“MRVP”). The MRVP would be amended to include certain rules
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023,
Nomination of a Small Firm NAC Member Candidate
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
