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Market data Services (Professional user (Client completes the MDA (Why…
Market data Services
Professional user
Overview
Who is a pro
Exchange definitions
Each user needs their own MDA
What is the defference between pro and non pro
Fees
How data is consumped
How users are reported
How does one flag as a pro / non pro
Keyword
How to update the list
How do we pick keywords
When are key words removed
Account type
Where do we get the list
how is the list compiled
Who maintains the list
How often do we check it
Registered rep list
Questions
How do you remove pro or non pro status
Client completes the MDA
MB Trading
Ally Invest
Annually
Why would we issue a new MDA to a customer.
someone answered teh questions wrong
When do we reset an MDA and why
Setting up an admin user
WHo is an entitled user
Setting up 3rd party logins
manager approval
Compliance approval
Notify Market Q or Thompson
Auditing / Training
Scan for Entity accounts
Recheck the registered reps
Random sample of accounts
Training
New hires to the department
Customer service / Trading / OPS
Every 6 months check the websites for new
distribution / vendor agreements and subscriber forms.
Quote reporting
MBT
Ally Invest
Wizetrade
Reports