Monthly Disciplinary Actions January 2018
Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
On August 18, 2008, BATS Trading ("BATS") announced that it had received approval from the Securities Exchange Commission to operate a stock exchange, BATS Exchange, Inc.
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
Beginning Monday, February 5, 2018, FINRA members will be required to report the “B” and “S” modifiers on applicable transactions in U.S. Treasury Securities (Treasuries) reported to TRACE. Starting on that date, transactions that meet the defined criteria for these types of transactions must include these modifiers:
“B” on a trade report if the transaction being reported is part of a
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
This OATS Report is being issued to update guidance on the OATS reporting requirements for the use of the Account Type Code value of "X"- Error Account previously published on August 4, 2008.
