FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
This User Support page provides links to help and training resources for users of Web CRD.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
This specification describes the message formats for The Nasdaq Stock Market, Inc., Computer-to-Computer Interface to disseminate TRACE trade reporting data.
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
This page contains technical information about filing Regulation T, SEC Rule 15c3-3, and FINRA Rule 4210-related extensions requests using the REX system.
Direct Edge received approval from the Securities Exchange Commission to operate two stock exchanges, EDGA Exchange Inc. and EDGX Exchange Inc. Direct Edge plans its transition from ECN to Exchange to take place on a security-by-security phase-in approach over a period of weeks commencing May 12, 2010.
FINRA released a new edition of the OATS Reporting Technical Specifications dated March 15, 2010. The changes described in this edition of the OATS Reporting Technical Specifications will be available in the OATS Production environment on April 26, 2010 and will be available in the OATS Certificate Test environment on April 12, 2010.
