NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on February 28, 2003. NASD is proposing to extend the pilot program for TRACE fees to June 30, 2003, to provide a temporary reduction of certain fees for a one calendar month period
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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Executive Summary
On December 10, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules governing market maker withdrawals and
When buying or selling stocks, you'll have to figure out whether you want to include any special instructions on the execution of the trade. These qualifiers can have important consequences for your order, so it’s important to understand their differences. The most common time parameters are known as “time in force” options.
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").
DTCC to Provide FINRA Access to Participant Position Reports
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
Continuing Education Planning
