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Extended-hours trading (or electronic trading hours, ETH) is stock trading that happens either before or after the trading day regular trading hours (RTH) of a stock exchange, i.e., pre-market trading or after-hours trading. [1] After-hours trading is the name for buying and selling of securities when the major markets are closed. [2]
FINRA licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance, and is sanctioned by the U.S. Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA's rules and ...
Securities and Exchange Commission Rule 17a-4 and SEC Rule 17a-3 Patriot Act Note, that many of the compliance regulations require the preservation of "electronic business communications" which consist of not only email, but may include instant messaging, file attachments, Bloomberg Messaging, Reuters Messaging, PIN-to-PIN and SMS text messages ...
Financial professionals who recommend clients buy a security or financial product are held to ethical standards that can be enforced by law. One such standard is known as the suitability rule ...
Electronic know your customer (eKYC) involves the use of internet or digital means of identity verification. [7] This may involve checking information provided is valid by using systems to validate ID and proof of address documents or by checking information against government databases such as the official passport database of a country. [8]
A crossing network is an alternative trading system (ATS) that matches buy and sell orders electronically for execution without first routing the order to an exchange or other public displayed market such as an electronic communication network (ECN).
Clarification from the Financial Industry Regulatory Authority (FINRA) was issued to member firms in the financial services industry in December 2007, noting that "electronic communications", "email", and "electronic correspondence" may be used interchangeably and can include such forms of electronic messaging as instant messaging and text ...
The FIX Trading Community is a non-profit, industry-driven standards body with a mission to address the business and regulatory issues impacting multi-asset trading across the global financial markets through the increased use of standards, including the FIX Protocol messaging language, delivering operational efficiency, increased transparency, and reduced costs and risk for all market ...