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FINRA collects certain market data as part of its role in overseeing trading and providing transparency services. Following are select tables drawn from that data.
Table of Contents
Table 3.1 National Market Systems (NMS) Stocks Trading Summary, 2016–2020
Table 3.2 National Market Systems (NMS) Stocks Trading by Venue Type, 2017–2020
Figure 3.1 Monthly National Market Systems (NMS)
At FINRA, we do more than just ensure the broker-dealer industry operates fairly and honestly. One of our core values is innovation. To cultivate a mindset for pioneering innovative solutions, we constantly create opportunities for our staff to enhance their current skills, add new skills, and we equip them with the cutting-edge tools. Our goal is to empower them to shape and grow their career.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In the third quarter of 1998, The Nasdaq Stock MarketSM (Nasdaq®) will discontinue the Trade Acceptance and Reconciliation ServiceSM (TARSSM) and will incorporate its functionality into the Automated Confirmation Transaction ServiceSM (ACTSM). ACT will be
FINRA is highlighting a recent joint Cybersecurity and Infrastructure Security Agency (CISA) and Federal Bureau of Investigation (FBI) Cybersecurity Advisory published on August 30, 2023, which may be updated as new intelligence is uncovered.
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
For years, the London Interbank Offered Rate (Libor) set the benchmark for global interest rates and impacted trillions of dollars in financial activity, leading many to call it as “the world’s most important number.” However, following controversies and reform efforts after the 2008 financial crisis, regulators in the United States and United Kingdom began exploring a replacement benchmark rate
Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
FINRA emphasizes the obligations of members to report securities transactions within the required time period. All reportable transactions not reported within the required time period shall be marked late, and FINRA routinely monitors members' compliance with the reporting requirements. If FINRA finds a pattern or practice of unexcused late reporting, that is, repeated reports of executions
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725:
Symbol
Company
Entry Date
SOES Execution Level
AUGI
American United Global, Inc.
1/28/92
1000
CALL
Fleet Call, Inc. (
