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Wednesday, March 30, 2016

Equity Trader Alert #2016 - 70
Nasdaq Introduces New Compliance Dashboard

Category:

  • Trade Reporting
  • Trading
  • Compliance
  • Risk Management

Markets Impacted:

Contact Information:

Resources:

New Compliance Dashboard

Nasdaq is pleased to announce that it is combining its three compliance tools, Reg Recon, Short Sale Monitor and Limit Locator into a single dashboard with enhanced features. This new dashboard will be available starting Wednesday, March 30, 2016.

Using the new dashboard, clients will continue to monitor compliance in real time for:

  • Finra/Nasdaq Trade Reporting Facility (TRF) Reg NMS Trade Throughs with exempt and Intermarket sweep (ISO) indicators.

  • Reg SHO (Rule 201) alerts for trades on the TRF as well as executions on Nasdaq, BX and PSX for trades sold short, not marked exempt, sold short, marked exempt, sold short on an uptick, and sold short not on short sale list. Additionally, you have access to the list of symbols on the list for the previous day and current day.

  • Limit-Up/Limit-Down alerts when your TRF trade report is outside or on a Limit-up/Limit-Down band. You can also use the Band Look-up to see band changes for any stock for up to 30 days.

For All Alerts

  • New expanded 30 day history

  • Single, consolidated view of alerts with filters

  • Ability to search based on any criteria, symbol, control number, etc.

  • Expanded and enhanced email alert capabilities

How to Subscribe

Existing compliance tool users will see the new option of “Compliance Dashboard” on the Compliance Tab of the Nasdaq Workstation and Weblink ACT 3.0.

  • Subscriptions will remain at the alert type level. Upon log in, users will see alerts based on their current subscription levels.

To subscribe, or add additional alert types to existing subscriptions, please visit the Front End Form. To access the Compliance Dashboard, you must be a Nasdaq Workstation or Weblink ACT 3.0 subscriber.

  • To request a demo or get more information, please contact Joshua Michaels at +1 212 231 5864.

FINRA™, Trade Reporting Facility™ and TRF™ are trademarks of Financial Industry Regulatory Authority, Inc.

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Nasdaq (Nasdaq: NDAQ) is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. Through its diverse portfolio of solutions, Nasdaq enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 90 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions. Nasdaq is home to approximately 3,900 total listings with a market value of approximately $13 trillion. To learn more, visit: business.nasdaq.com.

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