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Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
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EXECUTIVE SUMMARY
Since November 1990, members have been able to negotiate transactions through the SelectNetSM service, which was
IMPORTANT
TO: All NASD Members and Other Interested Persons
In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System.
This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications.
FINRA’s Diversity Leadership Summit provides a forum for diversity practitioners and business leaders in the industry to share ideas and effective practices to promote inclusion in the workplace.
FINRA’s 2022 Diversity Leadership Summit took place virtually October 25-27. Each day, more than 1,200 participants learned from expert diversity, equity and inclusion thought leaders and industry
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Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The NASD Board of Governors requests member comment on rule proposals developed by the Industry/Regulatory Council on Continuing Education (the Council). These proposals codify and expand the conceptual recommendations made by a special task force comprised entirely of industry representatives
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
FINRA Requests Comments on Report
WASHINGTON—A diversity of cloud computing models is transforming how broker-dealers operate, with the potential to enhance agility, efficiency, resiliency and security within firms’ operations, while also highlighting the importance for firms to consider relevant regulatory factors for maintaining investor protection and market integrity, according to a new
As of May 13, 2024ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AMERICAN LEDGER ATSCSTNAMERICAN LEDGER ATSCeased on July 31, 2021APOGEEAPOGCITADEL SECURITIES LLCCeased on April 2, 2015AQUAAQUAAQUA SECURITIES L.P.Ceased on September 16, 2022AX TRADING, LLCAXTNAX TRADING, LLCCeased on April 30, 2021BARCLAYS DIRECTEXBCDXBARCLAYS CAPITAL INC.Ceased on October 31, 2018BIDS ATSBIDSBIDS