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For Your Information
Decimalization And Qualification Exams
On April 9, 2001, equity securities trading on Nasdaq® will be fully converted to decimals. On that date, test questions on all qualification examinations administered by the NASD® will also be changed to decimals. The purpose of these changes is to conform with the new industry norm. This will not result in substantive changes to the
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
FOCUS Filing Dates
NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines remaining due dates for 2000 reports. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report,
Series 55 Exam Grace Period Expires May 1, 2000
On April 1, 1998, NASD Regulation, Inc., amended the National Association of Securities Dealers, Inc. (NASD®) Registration Rules regarding the qualification of representatives who trade equity securities in The Nasdaq Stock Market, Inc. and/or over-thecounter. A new qualification examination was established - the Limited Representative—Equity
Electronic Refiling And Payment Reminders
Form BD Refile- Deadline: Dec. 15, 1999
The Securities and Exchange Commission (SEC) has required all broker/dealers to electronically file new information elicited by the revised Form BD and any information that NASD Regulation was unable to convert to the new Web CRDSM format. (NASD Regulation was able to convert some, but not all, of the broker/
Comment Period Extended
The Request for Comment period for Notice to Members 99-54 has been extended until August 31, 1999, to give all interested parties, including those who may be focusing on issues relating to the deployment of Web CRD, a meaningful opportunity to comment.
Member Firms Now May Submit EDGAR Documents On Computer Disks To Meet The Information Requirements Of SEC Rule 15c2-11 And NASD Marketplace Rule 6740
Member firms may now demonstrate compliance with Securities and Exchange Commission (SEC) Rule 15c2-11 and National Association of Securities Dealers, Inc. (NASD®) Marketplace Rule 6740 by submitting one copy of EDGAR documents on computer disk, in
Wire Transfer Of Corporate Financing Fees
The Corporate Financing Department of NASD Regulation, Inc. (NASD RegulationSM) will now accept the payment of the Corporate Financing filingfee by wire transfer. (The Department will continue to accept checks or money orders, too.) To obtain the necessary information for wire transfers, please contact the Compliance Unit of the Corporate Financing
OATS Update
IMPORTANT! Non-Market Makers in Nasdaq securities are NOT required to submit an Order Audit Trail SystemSM (OATSSM) Subscriber Initiation and Registration Form to the NASD until after January 1999. Only Market Makers in Nasdaq securities and ECNs were required to submit the Form by September 14, 1998.
Studies Advance Understanding of Financial Capability in the United States
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation), in partnership with the American Council on Consumer Interests (ACCI), announced today the recipients of its higher-education awards to recognize early-career researchers who are advancing the understanding of consumer financial wellness and the