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Displaying 1371 - 1380 of 1487 results

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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

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

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Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Small Firms: Production Go-Live for Equities 2a reporting requirements
Timeline Activity
Test Environment Opens
Release 1 - File Submission and Data Integrity Validations
Timeline Activity
Small Firms: Production Go-Live for Options 2b reporting requirements
Timeline Activity
Test Environment Opens for Equities Phase 2c reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Equities 2c reporting requirements
Timeline Activity
Test Environment Opens for Options Phase 2d reporting requirements
Timeline Activity
Small Firms: Production Go-Live for Options 2d reporting requirements
Timeline Activity
Customer and Account Information - Test Environment Opens

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Q. Customer and Account Information
Timeline Activity
Customer and Account Information - Compliance Go-Live

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Q. Customer and Account Information

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