May 2, 2003The 2nd Quarter 2003 OATS release currently scheduled for July 28, 2003, contains certain enhancements that will require coding changes on the part of member firms and OSOs. Therefore, NASD is providing advance notice to members and OSOs so that they may plan accordingly. NASD is expecting to publish the full Technical Specifications by mid-May. These enhancements are being implemented
Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
May 2, 2003
Below are the order report formats for the New Report, Cancel/Replace Report, Combined Order/Route Report, Combined Order Execution Report, Route Report, and Execution Report, which will be effective in the OATS Testing environment on July 14, 2003 and in the OATS Production environment on July 28, 2003.
New Order Report
Seq.
Name
Data Type (Length)
M/C
August 22, 2003All firms that report data to OATS directly or via a third party and all third parties that report data to OATS on behalf of a member firm must register with OATS and obtain an Administrator User ID and password. Once this initial Administrator User ID and password is established, the reporting party may then request additional user accounts with which to submit data and/or view
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued two Regulatory Notices requesting comment on two proposals related to its arbitration program: a proposal to expand the options available to investors when filing a claim in arbitration against an inactive firm or associated person, and a second proposal related to compensated non-attorney representatives that provide
As previously communicated, on February 1, 2018, FINRA will introduce two new products: End-of-Day TRACE Transaction File and the TRACE Security Activity Report.
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In FINRA arbitration, the majority of customer cases – approximately 69% – result in settlements reached by the parties. Typically, appoximately 18% of all cases proceed to award. For more information on how cases close, view the dispute resolution statistics.
Settlement – The vast majority of settlements result in
Interval funds are closed-end investment companies that may appeal to investors looking for new ways to diversify their portfolio. Here are 6 things to know before investing in interval funds.
