The Rules shall be interpreted in light of the purposes sought to be achieved by the Rules and to further FINRA's regulatory programs.
Cross Reference–
Resolution under Article XI, Section 1, of the By-Laws: Interpretations and Explanations
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
The Rules shall become effective as provided in Article XI, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.
Amended by SR-NASD-98-86 eff. Nov. 19, 1998.
The Rules are adopted pursuant to Article VII, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
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0110. ADOPTION OF RULES
0120. EFFECTIVE DATE
0130. INTERPRETATION
0140. APPLICABILITY
0150. APPLICATION OF RULES TO EXEMPTED SECURITIES EXCEPT MUNICIPAL SECURITIES
0151. COORDINATION WITH THE MSRB
0160. DEFINITIONS
0170. DELEGATION, AUTHORITY AND ACCESS
0180. APPLICATION OF RULES TO SECURITY-BASED SWAPS
0190. EFFECTIVE DATE OF REVOCATION, CANCELLATION, EXPULSION,
For Your Information
As described in NASD Notice to Members 01-67, President Bush issued an executive order on September 24, 2001, blocking the property of and prohibiting transactions with persons who commit, threaten to commit, or support terrorism. The order was issued through the U.S. Treasury's Office of Foreign Assets Control (OFAC); the offices of the Secretaries of State and
For Your Information
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. reminds member firms of their obligation to file the appropriate Web-Based FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by the specified due dates. The following schedules outline due dates for
NASD 2002 Renewals Program
Member firms' Final Renewal Statements became available in Web CRD on January 2, 2002. All payments or requests for refunds must be received by March 15, 2002. Final Renewal Statements can be retrieved under the "Renewals" menu item in Accounting. Also, all Final Renewal Rosters are available in Web CRD for viewing and printing in the firm's
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
Bank Notification Used In Conjunction With A Special Reserve Bank Account For The Exclusive Benefit Of Customers
In order to protect customer cash held at a clearing firm, SEC Rule 15c3-3 requires that customer cash and other customer credits be deposited into a Special Reserve Bank Account for the Exclusive Benefit of Customers (Reserve Account). This requirement serves as a safeguard for
Submission of PAIB Computation in FOCUS Filings
Beginning with the June 2002 FOCUS Report, members that hold assets of other member firms and compute a PAIB Reserve with respect to such assets will need to include the PAIB Reserve computation with their regular FOCUS filing. The PAIB Reserve computation will be included as page 9B in the Part II FOCUS filing.
The PAIB Reserve
