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Regulation NMS established substantive rules designed to modernize and strengthen the regulatory structure of the United States equities market. View SEC's spotlight on Regulation NMS. In addition, the SEC approved amendments to NASD Rules that align them with Regulation NMS requirements, facilitate oversight, and enhance transparency. As the Financial Industry Regulatory Authority (FINRA) strives for investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services, transparency in capital markets is a priority.

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Trump droht wegen Mauerstreits erneut mit Nationalem Notstand. For example, if a firm has two or more separate desks or departments that share a single information barrier, orders received or originated at these separate desks or departments may be reported to OATS with the same unique Information Barrier ID.

If, alternatively, a firm has separate desks or departments that are not within the same information barrier, orders received or originated at these desks or departments would be reported to OATS with different Information Barrier IDs.

Finally, if an order is received or originated within a firm that has no information barriers in place, those orders must be reported to OATS with the Information Barrier ID field left blank. To the extent that firms populate the Information Barrier ID field, the use of values must remain consistent.

Therefore, once used, a value may not be reassigned to identify a different information barrier. The time of execution reported to OATS should be the time the member crossed or facilitated the basket and not the acknowledgment time received back from NYSE. If my firm receives an order before October 17, in a security that was not subject to OATS requirements at the time of receipt, are any events taking place on or after October 17, with respect to that order reportable to OATS?

Further, subsequent order events occurring on or after October 17, relating to such orders also are not required to be reported to OATS. How should the Account Type Code be populated for orders received from an Investment Advisor or money manager exercising discretion over client accounts? The ATI values required to be submitted to the Exchange primarily are used to identify whether an Exchange member is entering an order into Exchange systems for its account or the account of some other entity, while the OATS Account Type Code values are used to identify the type of account originating an order.

OATS captures capacity and information about program trades and index arbitrage trades in fields separate and distinct from the Account Type Code. A routed order ID is required if the order is electronically transmitted to the Floor Broker. A routed order ID would not be required to be passed from the joint member calling the order down to the Floor Broker since this is a manual route.

E-mail Password Remember Forgot password? You can enter multiple email addresses separated by commas Message: Rather than narrowly defining what constitutes a block-size trade, FINRA is using both share-based and dollar-based thresholds, as well as thresholds that include both shares and dollar amount, in the following categories: France presses Renault over executive compensation paid via Dutch holding..

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For example, if the OATS execution timestamp is These limit up-limit down requirements would be coupled with Trading Pauses, as defined in Section I X of the Plan, to accommodate more fundamental price moves.

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