INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In the third quarter of 1998, The Nasdaq Stock MarketSM (Nasdaq®) will discontinue the Trade Acceptance and Reconciliation ServiceSM (TARSSM) and will incorporate its functionality into the Automated Confirmation Transaction ServiceSM (ACTSM). ACT
As of the September 18, 1999 release of OATS, firms may view online and/or download Execution and Combined Order/Execution Reports that do not match trade reports submitted to ACT.
Proposed Rule Change to Amend NASD Rule 2370
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
Series 6 Program
Executive Summary
This NASD Notice to Members announces that Monday, January 14, 2002, is the effective date that the new Series 6 Program Regulatory Element (S106) for Investment
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date— Settlement Date Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
November 2, 1999Prior to the release of OATS in the test environment on August 23, 1999 and the production environment on September 20, 1999, OATS deviated from its own format specifications by accepting ROE records with an additional ending delimiter.The most recent OATS release now enforces the delimited format, which has been specified in Chapter 5, "Data Reporting Formats," and
NASD has filed with the SEC a proposed rule change to amend NASD IM-10104, Rule 10306, and Rule 10319 of the NASD Code of Arbitration Procedure to impose a fee on parties of $100 per arbitrator and to compensate arbitrators in the event a hearing is adjourned within three business days before a scheduled hearing session.
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday,
October 24, 2002
NASD plans to implement its next regular quarterly release for the fourth quarter of 2002 (2002.4) into the testing environment on December 2, 2002 and into the production environment on December 16, 2002. This release contains one enhancement that may require changes to firms' system codes.
Originating MPID
NASD is adding a field called "Originating MPID" to
