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This document serves as an attestation by a NASDAQ Equity Market Maker regarding compliance with the closeout requirements of Rule 204T of Regulation SHO for positions acquired for market-making obligations.
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How to fill out nasdaq equity market maker
How to fill out NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION
01
Begin the form by entering your firm’s name and contact information at the top.
02
Clearly indicate the purpose of the attestation in the designated section.
03
Provide details regarding your trading activities, including the types of securities traded and markets operated.
04
Confirm compliance with NASDAQ market maker requirements by checking the appropriate boxes.
05
Include information about the firm’s regulatory compliance and risk management policies.
06
Sign and date the attestation at the end of the document.
07
Submit the completed attestation according to NASDAQ guidelines, ensuring you keep a copy for your records.
Who needs NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION?
01
Firms that operate as market makers on the NASDAQ exchange must complete a written attestation.
02
Any entity seeking to establish or maintain market maker status is required to provide this attestation.
03
Investment firms that engage in buying and selling securities on behalf of clients may also need this attestation.
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People Also Ask about
What are the criteria for a market maker?
Market maker refers to a company or an individual that engages in two-sided markets of a given security. A market maker seeks to profit off of the difference in the bid-ask spread. The purpose of a market maker in a financial market is to keep up the functionality of the market by infusing liquidity.
What are the requirements for market makers on the NASDAQ?
Market makers are required to (1) display two-sided quotes in all stocks in which they choose to make a market; (2) display both quotes and orders in Nasdaq, in compliance with the Commission's Order Handling Rules; (3) honor their quoted prices; and (4) report trading in a timely manner.
How to become a NASDAQ market maker?
Complete the Market Maker Registration Form (PDF) and fax it to NASDAQ Subscriber Services at 212.231. 5426. If new services are required, also complete the NASDAQ Port Request Form (PDF) or the NASDAQ Front-End Access Form (PDF).
What is a NASDAQ market maker?
Nasdaq: Market Makers Nasdaq consists of large investment companies that buy and sell securities through an electronic network. Each security on Nasdaq generally has more than one market maker. An average of 14 market makers for each stock provides liquidity and efficient trading.
Does Nasdaq use market makers?
Nasdaq consists of large investment companies that buy and sell securities through an electronic network. Each security on Nasdaq generally has more than one market maker. An average of 14 market makers for each stock provides liquidity and efficient trading.
What are the requirements for market maker in Nasdaq?
For each security in which a member is registered as a Nasdaq Market Maker, the member shall be willing to buy and sell such security for its own account on a continuous basis during regular market hours and shall enter and maintain a two-sided trading interest ("Two-Sided Obligation") that is identified to the
What is the 5 minute rule for Nasdaq?
(11) shall, between 9:45 a.m. and 3:35 p.m., or in the case of an early scheduled close, 25 minutes before the close of trading, immediately pause trading for 5 minutes in any Nasdaq-listed security not covered by the Limit Up-Limit Down Plan, other than rights and warrants, when the price of such security moves a
What is the market maker 1% rule?
market maker must, within 10 business days of the end of each calendar quarter, compute its trading volume for each subject security, and if the volume exceeds 1 percent, the mar- ket maker must begin publishing two-sided quotations.
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What is NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION?
The NASDAQ Equity Market Maker Written Attestation is a document required by NASDAQ that serves as a certification from market makers confirming their compliance with specific market-making obligations and standards.
Who is required to file NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION?
Market makers that are registered on the NASDAQ exchange are required to file the NASDAQ Equity Market Maker Written Attestation.
How to fill out NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION?
To fill out the NASDAQ Equity Market Maker Written Attestation, the market maker must provide accurate and complete information pertaining to their market-making activities, including adherence to the rules, obligations, and any applicable disclosures.
What is the purpose of NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION?
The purpose of the NASDAQ Equity Market Maker Written Attestation is to ensure that market makers are adhering to the regulations and practices that maintain market integrity and facilitate fair trading.
What information must be reported on NASDAQ EQUITY MARKET MAKER WRITTEN ATTESTATION?
The NASDAQ Equity Market Maker Written Attestation must report information including but not limited to the market maker's compliance with regulations, the execution of trades, obligations fulfilled, and any deviations from standard practices.
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