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Regulation National Market System (or Reg NMS) is a 2005 US financial regulation promulgated and described by the Securities and Exchange Commission (SEC) as "a series of initiatives designed to modernize and strengthen the National Market System for equity securities".
In 2005, the rules promoting the National Market System were updated and consolidated into Regulation NMS. [5] [2] The primary self-regulatory organization regulating member brokerage firms and exchange markets until 2007 was the National Association of Securities Dealers (NASD).
In 2004, Regulation NMS changed all that -- encouraging the emergence of new electronic exchanges like BATS and DirectEdge. ... Some of the new electronic exchanges had rules that caused them to ...
The law also empowered the Securities and Exchange Commission (SEC) to establish a national market system and a system for nationwide clearance and settlement of securities transactions, enabling the SEC to enact Regulation NMS, and created the Municipal Securities Rulemaking Board (MSRB), a self-regulatory organization that writes investor ...
These work against the order-protection rule under regulation NMS. For example, if a trader is trying to buy 1000 shares of X, and there are 100 shares of X being offered at $1 at one exchange and 2000 at $1.10 at another exchange, the order protection rule would let you buy ONLY those 100 shares at $1, after which you would need to send in ...
In the law of the United States, the Code of Federal Regulations (CFR) is the codification of the general and permanent regulations promulgated by the executive departments and agencies of the federal government of the United States. The CFR is divided into 50 titles that represent broad areas subject to federal regulation.
In general, for regulatory purposes, an alternative trading system is an organization or system that provides or maintains a market place or facilities for bringing together purchasers and sellers of securities, but does not set rules for subscribers (other than rules for the conduct of subscribers trading on the system).
1 1/4 c. Preheat the oven to 400°F. Line 3 baking sheets with parchment paper. For the almond filling: In a food processor, combine the blanched almonds and granulated sugar, and process until ...