NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a schedule of fees and credits for The Trade Reporting Facility LLC (the "NASD/Nasdaq TRF") established by NASD and The Nasdaq Stock Market, Inc. ("Nasdaq").
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Notice of FINRA District Committee Elections and Ballots
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
(a) The terms used in the Rules, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws, unless a term is defined differently in a Rule, or unless the context of the term within a Rule requires a different meaning.
(b) When used in the Rules, unless the context otherwise requires:
(1) "By-Laws"
The term "By-Laws" means the
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Upcoming District Committee and District Nominating Committee Elections
SR-FINRA-2009-025 - Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE
National Adjudicatory Council Committee Members
