FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
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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, 2017–2021
Table 3.2 National Market Systems (NMS) Stocks Trading by Venue Type, 2018–2021
Figure 3.1 Monthly National Market Systems (NMS)
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
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
WASHINGTON—FINRA announced today that it has hired the Lowenstein Sandler law firm to conduct an independent review of how FINRA Dispute Resolution Services (DRS) complied with its rules, policies and procedures for arbitrator selection in an arbitration proceeding whose award was recently vacated by an Atlanta Superior Court judge.
“We take this matter very seriously. FINRA recognizes the
SUGGESTED ROUTINGSenior ManagementAdvertisingContinuing EducationCorporate FinanceExecutive RepresentativesGovernment SecuritiesInstitutionalInsuranceInternal AuditLegal & ComplianceMunicipal Mutual FundOperationsOptionsRegistered RepresentativesRegistrationResearchSyndicateSystemsTradingTrainingVariable Contracts BackgroundThe National Association of Securities Dealers, Inc. (NASD®) is
New Member Applications
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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
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Senior ManagementLegal & ComplianceSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 10, 1991, the Securities and Exchange Commission (SEC) unanimously approved four changes to the Small Order Execution System (SOES) operated by NASD Market Services, Inc. for Nasdaq securities.
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Legal & ComplianceOperationsTrading
Executive Summary
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" (QEQ System) for purposes of certain SEC Penny Stock Disclosure Rules that became effective
