FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
The Association's Board of Governors has approved a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice which would prohibit sponsors of direct participation programs from offering non-cash sales incentives to NASD members and their associated persons.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 19, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,472. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
April 19, 2001The March 7, 2001 edition of the OATS Reporting Technical Specifications states that the Order Received Date field on the New Order, Route, Cancel, Cancel/Replace, Desk, Execution, Combined Order/Execution and Combined Order/Route reports has been appended to include the time in the hhmmss format. This modification was installed to allow firms to more easily identify orders uniquely
(a) Quotation Recording Requirements
(1) Subject to the terms and conditions contained herein, each OTC Market Maker that displays priced quotations (bid and/or offer) or unpriced indications of interest in OTC Equity Securities in an inter-dealer quotation system that permits quotation updates on a real-time basis shall record each item of information described in paragraph (b) of this Rule.
