Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice to Members 88-104 and 89-17, the NASD requires its members to respond to requests for trading data by using a standardized automated format. This format is
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
Executive Summary
Beginning March 1, 1994, the NASD will assess an $85 surcharge on all initial and transfer Form U-4 filings that require a Special Registration Review (SRR) of information reportable on Page 3 of this Form.
Background
During 1993, the NASD Finance Committee formed the Rate Review
Inverse funds are important protection for downside risk in my IRA Account. If were not for the instruments I would have had to go cash instead of going delta neutral and still collect blue chip dividends. The result is I had good 1st Q 22 not bad for an average Joe. It pains to think you going thru this exercise again. In 2006 I got scared out my hedges by this same scrutiny and suffered heavy
Summary
FINRA alerts member firms to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer account assets from one firm to another.
This Notice provides an overview of how bad actors effect
SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
REQUEST FOR COMMENT
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Comment Period Expires May 20, 2005
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KEY TOPICS
Advertising
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Senior Management
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NASD Rule 2210
Executive Summary
NASD is proposing to amend
SummaryFINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set. This new transaction-level data will be publicly available and free of charge on FINRA’s website for non-professionals’ personal, non-commercial
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. Firms are strongly encouraged to use PDM to review their TRAQS users on a regular basis to ensure that accounts remain valid
I would like to comment on two particular components of 21-19. -"It is possible that the public dissemination of more granular data could discourage short-selling activity, which is an important mechanism for both efficient pricing and for liquidity provision. We also request comment on potential negative outcomes of making this information publicly available on an aggregated basis." -
