NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 6200 Series regarding Trade Reporting And Compliance Engine (TRACE).
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a Series 27 principal.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Private Securities Offerings (Series 82) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a private securities
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Direct Participation Programs (Series 22) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a direct participation
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws by establishing a late fee to be assessed against NASD members that fail timely to pay their yearly renewal fees to the Central Registration Depository.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") regarding the release of disciplinary information to the public.
NASD has filed with the SEC a proposed rule change to require members to create and maintain business continuity plans to use in the event of a significant business disruption. In addition, the proposed rule change would require members to supply NASD with specified information to be used by NASD in the event of future significant business disruptions.
