March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
SUGGESTED ROUTING
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Executive Summary
On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National Association of Securities Dealers, Inc. (NASD® or Association) and a
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 46 securities will join the 926 trading in the NASDAQ National Market System on Tuesday, June 19, 1984. These 46 securities have met the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 46 securities scheduled to join NMS on
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 15, the National Market System will include 935 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join NASDAQ's National Market System on July 19, bringing the total number of NMS securities to 378. These 50 securities meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 50
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
The National Market System will expand to 329 securities on June 21 when 50 more NASDAQ issues are voluntarily added to the 279 securities already trading on the System.
These 50 securities meet the SEC's criteria for voluntary designation, which include an average monthly trading volume of 100,000 shares and a minimum bid
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
On Tuesday, May 10, 1983, 43 securities will join the 182 already trading in the NASDAQ National Market System. These securities have met the requirements for NMS mandatory designation, which include an average trading volume of 600,000 shares a month for six months through March and a bid price of $10 on the last five days in March
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 14, the National Market System will include 789 securities as 50 more NASDAQ securities are phased into the System. (A week earlier, 12 mandatory designations will join NMS).
These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month
