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Investment / Financial regulation / Alternative display facility / 73rd United States Congress / United States Securities and Exchange Commission / Financial Industry Regulatory Authority / Securities Exchange Act / U.S. Securities and Exchange Commission / Trade Reporting And Compliance Engine / United States securities law / Stock market / Financial economics


SR-FINRA[removed]Text of proposed rule change
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Document Date: 2013-08-01 09:58:27

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File Size: 124,48 KB

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City

WASHINGTON / D.C. / /

Company

Transparency Services / Financial Industry Regulatory Authority Inc. / Track Data Securities Corp / ADF Market Participants / /

Currency

USD / ADF / /

/

Event

FDA Phase / Product Recall / Product Issues / /

Facility

OTC Equity Trade Reporting Facility / FINRA’s TRACE facility / FINRA Alternative Display Facility / /

/

IndustryTerm

electronic communications networks / technology environment / bank / real-time data / technology platforms / market makers / /

Organization

SECURITIES AND EXCHANGE COMMISSION WASHINGTON / D.C. / Securities and Exchange Commission / Self-Regulatory Organization / NASD / office of the Federal Register / /

Person

Brant Last / Stephanie Dumont / /

/

Position

Vice President and Director of Capital Markets Policy / Executive Vice President / General Counsel / officer / /

Product

Amendment / Transparency Facilities Since / Nasdaq-listed / /

Technology

digital signature / /

URL

www.finra.org/Industry/Compliance/MarketTransparency/ADF/Participants / /

SocialTag