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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
17a-13(a) This section shall apply to every member of a national securities exchange who transacts a business in securities directly with or for others than members of a
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
Pending Securities and Exchange Commission (SEC) approval, the IntelligentCross ATS (MPID: INCR) intends to become an active quoting participant on FINRA’s Alternative Display Facility (ADF).
FINRA and INCR will participate in a CTA/UTP production User Acceptance Test on Saturday, January 21, 2023, from 9:30 a.m. to 11:00 a.m. ET.
The following symbols will be used for the duration of the test
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d).
