SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTechnologyTradingand MarketsTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting
GUIDANCE
Transaction Reporting
Executive Summary
On November 16, 2006, the Securities and Exchange Commission approved an amendment to Rule 6230 (Transaction Reporting).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Retransmission Data Feed Policy
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining
Executive Summary
The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
INFORMATIONAL
Business Conduct and Responsibility Rules
Effective Date: October 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations, Trading and Training
Registered Representatives
Senior Management
Security Futures
Executive Summary
On October 15, 2002, the Securities and
Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
GUIDANCE
Credit Extension/Day Trading Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Day Trading
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On March 11, 2004, NASD announced a disciplinary action that resulted in a $10 million fine against three
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registration Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until 2006.
District 10 (New York)
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 32 issues joining the NASDAQ/National Market System on Tuesday, September 18, 1984, there will be 1,078 securities trading under real-time trade reporting. These 32 issues meet the SEC's voluntary designation criteria.
The 32 securities scheduled to be phased into NASDAQ/NMS on September 18 are
