A sweep order instructs your broker to identify th
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Posted On: 05/05/2022 10:34:10 AM
A sweep order instructs your broker to identify the best prices on the market, regardless of offer size, and fill your order piece-by-piece until the entire order has been filled
https://www.finra.org/rules-guidance/notices/07-39
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https://www.finra.org/rules-guidance/notices/07-39
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When a member firm transmits an order in an OATS-eligible security to another member, electronic communications network, non-member, or exchange for handling or execution, the routing member is required to submit a Route Report to FINRA. The categories of information that a firm must include in a Route Report are set forth in NASD Rule 6954(c) and in the OATS Reporting Technical Specifications published by FINRA.
7 For further guidance on the use of the "I" routing method code and the "ISO" special handling code, see "Additional Guidance Regarding the OATS Routing Method Code of 'I' and Special Handling Code of 'ISO,'" which is available on FINRA's OATS Web page at www.finra.org/RegulatorySystems/OATS/OATSReportIndex/p019397. Firms may also wish to consult the OATS Reporting Technical Specifications for further information.
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What is a cap Election trade?
CAPElection Conversion and Parity (CAP) Election Trade. Sales as a result of a sweep execution on the NYSE, whereby CAP orders have been elected and executed, and appear as repeat trades at subsequent execution prices.
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If the broker-dealer fails to deliver for 13 days, the regulation imposes a “close out” duty to purchase and deliver securities “of like kind and quantity.”
https://www.bloomberg.com/opinion/articles/20...ify%20wall
https://www.scotusblog.com/case-files/cases/m...v-manning/