Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Dispute Resolution;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange
(a) Except as provided in SEA Rules 15c2-11(a)(1)(ii), 15c2-11(f)(1) through (7), and 15c2-11(g), no member shall initiate or resume the quotation of a non-exchange-listed security in any quotation medium unless the member has demonstrated compliance with this Rule and the applicable requirements for information maintenance under SEA Rule 15c2-11. Except as provided in paragraph (b) of this Rule
This OATS Report is being issued to update guidance on the OATS reporting requirements for the use of the Account Type Code value of "X"- Error Account previously published on August 4, 2008.
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Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.
Last Voting Date: November 13, 1997
SUGGESTED ROUTING
Senior Management
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
Retrospective Rule Review
Comment Period Expires: May 14, 2015
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SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
