An email is sent out every Monday to remind employees to apply 'THIS' test to any electronic communication they send out.
What is the 'Media' test or the Wall street Journal test?
100
Leadership retreats; mentoring people who express interest in leading
What is being in the business of cultivating leaders?
100
Sharing the vision in multiple ways and forms.
What is recasting the vision?
200
The ‘feline’ system the SEC wants to implement to audit an order from start to finish
What is CAT?
200
This involves the selling of a security that an investor does not own or has borrowed
What is short-selling?
200
Collecting feedback and reporting it to senior leadership
What is creating accountability?
200
Newsletter highlight last weeks successful retreat; Pastoral comments about people reached during outreach event
What is take time to celebrate wins
300
SDMP stands for this
What is * Domain Model protocol?
300
Some examples for THESE special kinds of ‘liquidity pools’ are: 1. Credit Suisse’s Crossfinder 2. Goldman Sach’s Sigma X 3. Barclay’s LX
What are dark pools?
300
THIS may halt trading temporarily or, under extreme circumstances, close the markets before the end of normal close of the trading session
What is a circuit breaker?
300
This market event of 2010 is acting as a catalyst for many of the new regulations of the SEC, including the various circuit-breaker rules
What is the Flash crash of May 06, 2010?
400
THIS stands for the concept of write once, then do not modify. Also a slimy, crawly insect
What is WORM?
400
This new order type was introduced in the equity markets, but because of the controversy about it encouraging hidden liquidity, the SEC is likely to eliminate it
What is a Flash order?
400
THIS report will require all B/Ds and other large traders to assign unique identifiers to all orders (stocks, options and futures) placed for large traders
What is the large trader report?
400
Regulatory reviews consist of Examinations, Sweeps and THESE
What are investigations ?
500
WSP stands for THIS
What is Written Supervisory Procedures?
500
THIS is a colloquial term describing a firm sending huge volumes of orders with the intention of slowing the exchange or SIP market data distribution
What is Quote Stuffing?
500
This rule is related to the practice by a member firm (Sponsoring Member) of providing access to NASDAQ to another firm or customer (Sponsored Participant).
What is the sponsored access rule?
500
This team, in addition to the Compliance/Risk teams will also benefit from the Compliance Enterprise BNR projects.
What is Quantitative Research team/What is the Operations team?