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Chapter 4 - Supervision of Trading and Market Making

This class was created by Brainscape user Studying Alot. Visit their profile to learn more about the creator.

By: Studying Alot
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Decks in this class (6)

Chapter 4 - Misc
Short sale related circuit breaker,
A round lot that traded on the na...,
Automated confirmation transactio...
48  cards
Chapter 4 - NASDAQ/OATS
What does oats do,
The nasdaq is a screen based sec ...,
Within the global market there is...
18  cards
Chapter 4 - NASDAQ Trading Rules
Nasdaq market maker min quote size,
Market makers are prohibited from...,
Under reg sho if the customer bor...
12  cards
Chapter 4 - Good Delivery Rules
Unit delivery rule,
Partial deliveries,
Each delivery of bearer bonds mus...
8  cards
Nasdaq International
The nasdaq international service ...,
T f nasdaq capital market securit...,
European only
12  cards
Ex Clearing Trades
Interdealer paper confirmations m...,
When one party to a trade the con...,
After receipt of the dk notice th...
3  cards

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Chapter 4 - Supervision of Trading and Market Making

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