Embedded Files
Market Structure
Market Structure
Regulation NMS, NMS Plan Governance, SRO Oversight, FINRA Rule 5310, SEC Execution Quality Reporting (Rule 605), Retail & Institutional Rule 606
Regulatory Reporting
Regulatory Reporting
Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Trader Reporting, TRACE, FINRA TRF/ADF reporting, SLATE, Large Options Position Reporting (LOPR)
Market Data
Market Data
Market Data Infrastructure Rule (MDIR), Competing Consolidators, CT Plan, SIP feeds, Vendor Display Rule, Low Latency
Cyber/Risk
Cyber/Risk
Market Access Rule, Cybersecurity Risk Management, NIST data security standards, Regulation SCI. PII Data Protection, Cloud Service Provider Security
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