What format and procedures should market centers follow in preparing their monthly reports and making them available to the public?
The format of monthly reports and procedures for making them available to the public are spelled out in the Joint-SRO Plan, attached as Appendix A. In general, it requires market centers to make their monthly reports available in the form of electronic data files (standard, pipe-limited ASCII files). The Joint-SRO Plan also sets forth in detail the required contents of the electronic data file, including the identity and order of the 26 fields of information that the file must contain. Attached as Appendix B is a table indicating how a market center’s statistics could appear for a single security “A” in a report on trading for the month of May 2001. Appearing horizontally across the page (designated as F1, F2, F3 . . . F26) are the 26 required fields of information. A description of each of the fields may be found in paragraphs (a)(1) through (a)(26) of Section VI of the Joint-SRO Plan. Appearing vertically down the page are 20 records – one reflecting each of the possible subcategorie
Related Questions
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- Are broker-dealers required to follow any particular format in preparing their quarterly reports?
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