NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) through April 15, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on April 1, 2003. NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the expiration of the TAF
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to reflect a change in the functionality of the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF") to permit participants to submit trades to the NASD/NYSE TRF for submission to
A short interest rebate, under certain circumstances, may be paid to a non-member trust company as compensation for work performed in administering accounts.
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 9600 Series to permit a Waiver Subcommittee of the National Adjudicatory Council ("NAC") to affirm, modify, or reverse a decision of NASD's Department of Member Regulation ("Department") denying a request for a waiver from a required qualifications examination pursuant to Rule 1070.
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) until April 1, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on March 1, 2003. In a separate filing, NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make a technical amendment to new NASD Rule 2342 (SIPC Information). The proposed rule change serves to clarify the categories of members that are excepted from the scope of the rule.
November 26, 2001Firms that transmit order data to OATS via FTP or via CONNECT:Direct should consider the option of retrieving and resubmitting their rejected data via that same medium rather than by accessing them via the Web. The NASD has established this feature to make the retrieval and resubmission of large volumes of rejected data easier and less time-consuming. This is the preferable
Staff clarification of <em>NASD Notice to Members 96-60</em> regarding a member's suitability obligation under NASD Rule 2310 with respect to certain investment company transactions.
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Senior Management
Executive Representatives
Legal & Compliance
Registration
Trading
Training
Executive Summary
On April 1, 1998, NASD Regulation, Inc., implemented amendments to the National Association of Securities Dealers, Inc. (NASD®) Registration Rules
INFORMATIONAL
Trade Date — Settlement Date
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KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be
