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Announcement
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other
Topics
A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
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R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
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05/24/2024
2e
Last Day for Interim Reporting Obligation 4
Testing & Readiness
Industry Members
05/31/2024
2e
Customer and Account Information - Compliance Go-Live
Topics
Q. Customer and Account Information
Release Availability & Compliance
Industry Members