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Pursuant to a Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for OTC trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) and FINRA’s Alternative Display Facility (ADF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files (collectively, the
The Plan provides for a market-wide limit up and limit down (LULD) mechanism to prevent trades in NMS stocks from occurring outside of specified price bands, coupled with trading pauses to accommodate more fundamental price moves. The Plan is designed, among other things, to protect investors and promote fair and orderly markets.
Rulemaking Items for Discussion at the December 2013 Meeting
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's September 19 Board of Governors meeting.
The Office of the Chief Economist works closely with the Office of General Counsel and other departments in developing new rules and analyze the costs and benefits of existing and potential rulemakings.
The FINRA Board of Governors will consider the following rulemaking items at its September 2013 meeting.
FINRA Entitlement Privacy Statement: Regulatory Users of Web CRD and IARD
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking actions and other issues discussed at FINRA’s July 11 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
The Trading Examinations Unit (“TEU”) within the Trading and Market Making Surveillance (“TMMS”) group of the Market Regulation Department at FINRA is conducting a review of the Firm’s controls and processes in connection with the development and use of trading algorithms , as well as controls surrounding automated trading technology.
The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting.