Displaying 1691 - 1700 of 9026 Results
NASDR has filed with the SEC a proposed rule change to clarify the requirements for members to provide electronic access to Nasdaq's SelectNet and SOES order entry systems to public customers and non-members through the member firm's own system.
This report is provided as a compliance tool to help TRACE Security Administrators monitor TRACE system entitlement.
New Member Applications
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
New Member ApplicationsRule 1013Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform members and applicants for membership
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of August 19, 1988, the following 29 issues joined the NASDAQ National Market System, bringing
Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
Public investments should be accessible to the public not to a privileged few. The public is capable of understanding their own investments without a need for a test. This will only limit my ability to control my wealth and future well-being and others that dont have access to the test. If you impose these regulations then the government needs to give access to every single person the knowledge
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $432,850 to the National Bureau of Economic Research (NBER) to explore whether disclosure policies can be shaped to help individual investors better evaluate investment risks and consider mutual fund fees when making an investment decision. Formerly known as the NASD Investor Education Foundation, the FINRA Investor
/**/
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, 2017–2021
Table 3.2 National Market Systems (NMS) Stocks Trading by Venue Type, 2018–2021
Figure 3.1 Monthly National Market Systems (NMS)