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MATCH Now Subscriber and Access Vendor Notice April 30, 2012, MATCH Now No Self Trade Feature Available The No Self Trade feature for MATCH Now subscribers is available in production. To enable the
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How to fill out a prohibition on trade-throughs
How to fill out a prohibition on trade-throughs:
01
Begin by clearly stating the purpose of the prohibition on trade-throughs. Explain why it is necessary and what it aims to achieve.
02
Identify the specific trade-through activities that will be prohibited. This may include actions such as bypassing certain intermediaries or executing trades at specific prices.
03
Outline the penalties or consequences for violating the prohibition on trade-throughs. Ensure that these are clearly stated and enforceable.
04
Specify any exceptions or exclusions to the prohibition. There may be certain circumstances or market conditions where trade-throughs are allowed or justified.
05
Include any reporting or monitoring requirements related to the prohibition on trade-throughs. This may involve regular audits or disclosures to regulatory authorities.
06
Provide guidelines or best practices for compliance with the prohibition. Offer suggestions on how to avoid trade-throughs and promote fair trading practices.
07
Communicate the prohibition on trade-throughs to relevant stakeholders, such as traders, brokers, and financial institutions. Conduct training sessions or awareness campaigns to ensure understanding and compliance.
Who needs a prohibition on trade-throughs:
01
Financial regulators: Regulators play a crucial role in enforcing market integrity and fair trading practices. They may implement a prohibition on trade-throughs to ensure a level playing field for all market participants.
02
Exchanges and trading platforms: Trading venues may impose a prohibition on trade-throughs to uphold market transparency and prevent unfair advantages. This helps maintain investor confidence and promotes efficient trading.
03
Market participants: Traders, brokers, and investors may benefit from a prohibition on trade-throughs as it protects against manipulative or predatory trading practices. It ensures that trade executions are conducted in a fair and orderly manner.
By following the steps outlined above, individuals and organizations involved in the trading industry can effectively fill out a prohibition on trade-throughs and understand the importance of such a measure.
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What is a prohibition on trade-throughs?
A prohibition on trade-throughs prevents the execution of trades at prices that are worse than the best price available on other trading venues.
Who is required to file a prohibition on trade-throughs?
Broker-dealers and trading venues are required to file a prohibition on trade-throughs.
How to fill out a prohibition on trade-throughs?
A prohibition on trade-throughs can be filled out electronically through the designated regulatory reporting system.
What is the purpose of a prohibition on trade-throughs?
The purpose of a prohibition on trade-throughs is to ensure that trades are executed at the best available price across all trading venues.
What information must be reported on a prohibition on trade-throughs?
The information reported on a prohibition on trade-throughs includes details of the trade, the prices on other trading venues, and the rationale for executing the trade at the reported price.
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