The OATS Web Interface is intended for all Order Sending Organizations (OSOs) — including member firms and third parties acting on behalf of member firms.
On this free, on-demand recording of a WebEx presentation, FINRA staff members discuss new and updated fixed income-related Report Cards.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Before you invest it's wise to set aside some money—equivalent to three to six months of living expenses—in an emergency fund to cover any unexpected expenses like car repairs and medical emergencies. Learn how to create a rainy day fund.
FINRA is issuing this OATS Report to clarify a firm’s OATS reporting obligations when receiving an instruction to reduce the shares quantity of an order. FINRA understands that a customer’s wish to reduce the shares quantity of an order may be communicated to firms in one of two ways as explained in further detail below. Firms should report to OATS in accordance with the customer’s instruction.
FINRA Rule 2360(b)(2) provides that “[t]he position and exercise limits for FLEX Equity Options for members that are not also members of the exchange on which FLEX Equity Options trade shall be the same as the position and exercise limits as applicable to members of the exchange on which such FLEX Equity Options are traded.”
Changes to an exchange rule regarding FLEX Equity Options position and
As previously announced, on Monday, April 27, 2015, FINRA will implement technical changes across all of its TRACE data feeds (BTDS, BTDS-144A, ATDS and SPDS). TRACE fixed income market data consumers must accommodate the data feed technical format changes described in each dissemination product specification by April 27, 2015 to continue to receive TRACE transactions. FINRA is also modifying
