Regulatory Notice 14-21 Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015 Executive … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules →

Election Notice 8/1/14 Petitions for Candidacy Due: September 15, 2014 Executive Summary The purpose of this Election Notice is to announce the nomination process to fill two vacancies on the … Continue reading FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council →