August 16, 2001The next OATS Release has been preliminarily set for Monday, October 29, 2001. This article highlights changes that will affect OATS reporting systems. More specific details will be included in the next edition of the OATS Reporting Technical Specifications scheduled for publication in early September.The first change adds the Issue Symbol to both the Cancel and Desk Reports. The
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
Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, May
August 28, 2002
NASD plans to implement its next regular quarterly release for the third quarter of 2002 (2002.3) into the testing environment on September 30, 2002 and into the production environment on October 14, 2002. This release contains a variety of changes, some requiring coding by members and some that enhance functionality.
The 2002.3 release includes the following enhancements that
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
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be
November 26, 2001When an Reportable Order Event (ROE) has been rejected, repaired, and is resubmitted, it is imperative that reporting members populate the Rejected ROE Resubmit Flag field with a value of "Y". The Rejected ROE Resubmit Flag of "Y" indicates that the ROE being submitted to OATS was previously rejected from or submitted to OATS. This particular value must be
INFORMATIONAL
Web-Based Regulatory Applications
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
Forms/Electronic Filing
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
Executive Summary
The Board of Governors of the Federal Reserve System (Fed) is adopting several amendments to Regulation T (Reg. T), the regulation that covers extensions of credit by and to brokers and dealers. These amendments reflect consideration of the comments submitted in response to the proposed rule issued by the Board for public comment on June 29, 1995, and reprinted in Notice to
Requirements of member firms in maintaining do-not-call lists under NASD Rule 3110.
