The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 2860 to: (1) apply the NASD's options position and exercise limits to members that effect trades for non-member brokers and non-member dealers; (2) require members to report the options positions that they effect for non-member brokers and non-member dealers
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to require clearing firms and market makers that are members of the NASD to conduct or to participate in the testing of their computer systems to ascertain decimal pricing conversion compatibility of those systems.
NASDR has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System Rules to December 15, 2000.
Delivery of a Margin Disclosure Statement to Non-Institutional Customers
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rule 11870(e) to require that following the validation of a transfer instruction, the carrying member must complete the transfer of customer account(s) to the receiving member within three business days instead of four business days.
Remarks by Steven Randich From SIFMA Tech 2014
Remarks by Richard Ketchum From the 2014 FINRA Annual Conference
Remarks by Richard Ketchum From the NACUBO 2014 Endowment and Debt Management Forum
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
Remarks by Richard Ketchum From the Council for Economic Education
