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
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday,
<p>Scope of permissible functions of a Compliance Registered Operations Principal (CROP).<br />
</p>
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund variable product distributor broker/dealer with a separately registered transfer agent.<br/></p>
October 4, 2000
OSO Administrators at NASD member OATS reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of issues. The contact types required by OATS are:
Administrator—The primary contact for the OATS program.
Technical Support Contact—Assists the NASD in resolving OATS-related technical
May 2, 2003The 2nd Quarter 2003 OATS release currently scheduled for July 28, 2003, contains certain enhancements that will require coding changes on the part of member firms and OSOs. Therefore, NASD is providing advance notice to members and OSOs so that they may plan accordingly. NASD is expecting to publish the full Technical Specifications by mid-May. These enhancements are being implemented
Executive Summary
In conjunction with the amendments to Regulation T (Reg. T) which are described in Notice to Members 96-37, the Board of Governors of the Federal Reserve System (Fed) is also requesting comments on proposed changes to Regulations G, T, and U. Reg. T covers extensions of credit by and to broker/dealers; Reg. U covers extensions of credit by banks; and Reg. G covers extensions of
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
Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Tuesday,
When reporting to OATS, Reporting Members are required to provide a "Received Method Code" on order events including New Order Reports (NW), Cancel/Replace Reports (CR), Combined Order/Execution Reports (OE), and Combined Order/Route Reports (OR).
November 2, 1999Below is a summary of common data elements that are not being reported correctly to OATS. Failure to report timely, complete, and accurate information to OATS may constitute a violation of NASD Rules 6955 and 2110. Please review the items below, and if you have questions contact Business and Technology Support Services at (800) 321-NASD or via e-mail.
Account Type Code—This
