Proposed Rule Change to Amend FINRA Rule 2360 to Increase the Position Limit for Options on the Standard and Poor’s Depositary Receipts Trust
Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
FINRA is issuing this Information Notice to remind members of the role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.Please see the attached ISG CMRWG Regulatory Memorandum 2024-01 (“Notice”) that was issued by the Participants of the ISG
Regulatory Obligations and Related Considerations
Regulatory Obligations
Exchange Act Rule 13h-1 (Large Trader Rule) requires “large traders” to identify themselves as such to the SEC, disclose to other firms their large trader status and, in certain situations, comply with certain filing, recordkeeping and reporting requirements. These requirements help the SEC identify large traders and
(a) Applicability of Rule
This rule applies to arbitrations involving a sexual assault claim, sexual harassment claim, or statutory employment discrimination claim as defined in Rule 13100(aa), (bb), and (dd). Except as otherwise provided in this rule, all provisions of the Code apply to such arbitrations.
(b) Number of Arbitrators
(1) Claims of $100,000 or Less
If the amount of a claim in a
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of November 28, 1994, the following 37 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,739:
Symbol
Company
Entry Date
SOES Execution Level
CVTI
Covenant Transport, Inc. (Cl A)
10/28/94
500
LION
Fidelity Southern Corp.
10/31/94
200
BUMM
B.U.M. International, Inc.
Did you receive an unexpected check in the mail and think, “Great! Free money?” Not so fast. Cashing that unexpected “windfall” may result in losses, reveal your personal financial information to scammers, or both.
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
In October 2005, NASD issued Notice to Members (NTM) 05-69
informing members of Securities and Exchange Commission (SEC)
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
