• Deana La Barbera

FINRA and Nasdaq Propose New Trade Reporting Facility

On April 20, 2018, the SEC published for comment a FINRA proposal to adopt rules relating to the establishment of a second Trade Reporting Facility or “TRF” to be operated in conjunction with Nasdaq. The second FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Chicago”) would provide FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-up trade reporting arrangements. The FINRA/Nasdaq TRF Chicago would be governed by the rules applicable to the existing FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Carteret”), which were subject to notice and comment and approved by the Commission.

Proposed Rule Change: https://www.sec.gov/rules/sro/finra/2018/34-83082.pdf

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We first began working with Deana in 2005 for some small corporate matters. Since then, she has become an invaluable resource for both business and personal matters. Not only has our corporation been running smoothly under her guidance, but she has been a safety net for all our personal family matters as well. She has assisted multiple generations in our extended family through estate planning and has guided us through personal legal issues. She is truly a well-rounded resource whom we turn to and rely upon for all of life’s twists and turns.

— JOHN & DOMINIQUE M., CEO, CFO and Everyday People

Deana A. La Barbera Law

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