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SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
TO: All NASD Members and Other Interested Persons
ATTN: Trading and Operations Personnel
The Securities and Exchange Commission recently approved amendments to Schedules D and G of the NASD By-Laws that will require real-time trade reports in NASDAQ National Market System securities and listed securities traded off-board to include a buy, sell or cross indicator. To report this information,
Statistical Overview of Brokerage Firms, Registered Representatives and Trading Activity
WASHINGTON—FINRA today published the 2020 FINRA Industry Snapshot, its annual statistical report on the brokerage firms, registered representatives and market activity that FINRA regulates.
The latest edition includes data ranging from the size and geographic distribution of the firms FINRA regulates to the
The penny stock rules under the Exchange Act require broker-dealers engaging in certain over the counter transactions in low-priced stocks to provide customers with specified information. See Securities Exchange Act Release No. 30608 (April 20, 1992), 57 FR 18004 (April 28, 1992). The penny stock rules permit a broker-dealer to fulfill some of these disclosure obligations by relying on pricing
(a) Before appointing arbitrators to a panel, the Director will notify the arbitrators of the nature of the dispute and the identity of the parties. Each potential arbitrator must make a reasonable effort to learn of, and must disclose to the Director, any circumstances which might preclude the arbitrator from rendering an objective and impartial determination in the proceeding, including
Pursuant to a Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for OTC trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) and FINRA’s Alternative Display Facility (ADF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files (collectively, the
June 29, 2001
To ensure OATS works effectively, order data must be reported accurately and timely. The NASD Market Regulation Department recommends the following guidelines to aid member firms in their responsibility to properly report order data to OATS.
Ten Preventive Compliance Tips:
Review the OATS Web interface daily to ensure all files have been accepted.
Review the Web Site daily
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
This episode originally aired in October 2020. Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode we look at the overlapping risks of AML and cybersecurity.