Application of NASD Rule 2330(f) to Proposed Profit Sharing Arrangement.
The provisions of the three quote rule apply to transactions in foreign securities executed on a foreign exchange for member customers.
<p>Application of Rule 2320(g) and Rule 3110(b) to quotations displayed in the Electronic Quotation Service (prior to the adoption of proposed Rule 6630).</p>
Uniform Practice Code Rule 11870 requires a member to adopt specific measures to facilitate the portability of all transferable securities, including mutual fund shares.<br/>
<p>Rule 11210(a)(3) does not prohibit a firm from effecting the requirements of the provision electronically, but the firm is responsible for the accuracy and proper functioning of the computer program.</p>
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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<p>All Letters of Caution represent a determination that a violation has occurred, either of an NASD rule or a rule of the Securities and Exchange Commission over which NASD Regulation has jurisdiction to enforce. A Letter of Caution that results from a finding in a disciplinary proceeding initiated under the Rule 9200 Series of the NASD Code of Procedure is a sanction within the meaning of Procedural Rule 8310(a)(6), but a staff-issued Letter of Caution is not a sanction within the meaning of Procedural Rule 8310(a)(6).</p>
What is proper evidence of compliance with clock synchronization requirements pursuant to NASD Rule 6953?<br/>
A NASD member firm that is a proprietary trader and does not make markets is required to report orders in Nasdaq securities in compliance with OATS Rules 6951 through 6957.<br/>
Application of the OATS Rules to: partial executions, bunched orders, pegged orders, and negotiated orders.<br/>
