What is the time Mike M* wants the report done by?
100
Date by which Rule 201 is going live
What is Nov 10, 2010?
100
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?
200
The ‘feline’ system the SEC wants to implement to audit an order from start to finish
What is CAT?
200
This * firm, in addition to * and *, is obligated to OATS report for nasdaq symbols
What is RCSL(Rivercross) / What is SBLP (either answer is acceptable)
200
Rule 201 is designed to restrict short selling from further driving down the price of a stock that has dropped more than THIS percent in one day
What is 10%?
200
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
SDMP stands for this
What is * Domain Model protocol?
300
THIS looks like gold but isn't...much like THIS 3rd party OMS used by SFG
What is Brass?
300
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 ?
300
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?
400
THIS stands for the concept of write once, then do not modify. Also a slimy, crawly insect
What is WORM?
400
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
The primary function of THIS proposal is to make sure someone is filtering for fat finger errors and blow out orders
What is the Sponsored Access proposal?
400
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?
500
WSP stands for THIS
What is Written Supervisory Procedures?
500
This SEC rule requires a broker-dealer to save all order details and audit trail in an easily queriable format
What is 17a3 and 17a4
500
You can send SSE orders while a Circuit Breaker is in effect if the price is better than the national best bid using THIS exemption
What is the Broker Dealer exemption?
500
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