FINRA Fines Deutsche Bank .25 Million for Deficient FINRA has established the following TRFs (each in conjunction with the pertinent Exchange): the FINRA/NASDAQ TRF and the FINRA/NYSE TRF. The Financial Industry Regulatory Authority FINRA announced today that it has. Concerning the Operation of Its Alternative Trading System.
SEC Approves FINRA Rule Requiring Alternative Trading Systems. The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)). Effective December 15, 2008, the NASD Marketplace Rules (the NASD Rule 4000 through 7000 Series) were transferred to the consolidated FINRA rulebook as the FINRA Rule 6000 through 7000 Series. To facilitate the transition to the consolidated rulebook, FINRA has created conversion charts that map NASD and incorporated NYSE rules to new FINRA rules and vice versa. Mar 14, 2014. Trade Reporting SEC Approves FINRA Rule Requiring. Alternative Trading Systems to Report Activity Weekly. US-registered broker-dealers.
Regulatory Notice 14-07 - FINRA Rules An ATS is a trading venue that executes trades in securities on behalf of broker-dealers and other traders. Feb 7, 2014. The SEC approved a rule change to require alternative trading systems ATS to i report to FINRA weekly volume information and number of.
Alternative Trading Systems - FINRA The alternative trading system shall promptly file an amendment on Form ATS correcting information previously reported on Form ATS after discovery that any information filed under paragraphs (b)(2)(i), (ii) or (iii) of this section was inaccurate when filed. 78k-1, 78q(a), 78r(a), and 78ff(a)), and any other applicable provisions of the Act. A FINRA may provide a means to permit alternative trading systems "ATSs", as such term is defined in Regulation ATS, and electronic communications networks "ECNs.