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In observation of Independence Day, the TRACE system will be closed on Thursday, July 4, 2024. Please be advised that the TRACE system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any
CE Online and S101 Personalization
Nasdaq Postpones SuperSoes Until Fourth Quarter 2000
The Nasdaq Stock Market, Inc. announced last month that the introduction of the Nasdaq National Market Execution System (SuperSoesSM) and modifications to SelectNet® have been postponed until the fourth quarter of 2000.
In response to industry feedback, Nasdaq® will postpone the SuperSoes launch and SelectNet modifications previously
Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
On September 2nd, the Listing Exchanges will establish which securities will be included as Pilot Securities for the Tick Size Pilot Plan (“Plan”). With respect to the data collection obligations of the Plan, the Participants have determined that the Pre-Pilot Data Collection Securities shall be used to satisfy the Plan’s data collection requirements until thirty days prior to the start of the
To assist programmers with system coding, FINRA is publishing this companion grid to show acceptable combinations of the Order Origination Code, Account Type Code and Member Type Code populated on New Order Type Reports. This document should be used in conjunction with the OATS Reporting Technical Specifications. Additional information on the associated validations can be found in Appendix B of
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, May 17, 2021. On that day, the