Exemptive relief is based on the firm's failed to implement compliance procedures sufficient to educate its municipal finance professionals regarding the particular provisions of the Rule, or otherwise prevent the occurrence of the contributions.
Exemptive relief is not granted based on the firm's failure to implement compliance procedures sufficient to educate its municipal finance professionals regarding the particular provisions of the Rule, or otherwise prevent the occurrence of the contributions.
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
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed
<p>Exemptive request denied: the OATS Rules do not provide NASD Regulation with the authority to grant exemptions from any of the OATS requirements.</p>
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
Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, May 29
An audio podcast of this speech is available for download
August 22, 2003All firms that report data to OATS directly or via a third party and all third parties that report data to OATS on behalf of a member firm must register with OATS and obtain an Administrator User ID and password. Once this initial Administrator User ID and password is established, the reporting party may then request additional user accounts with which to submit data and/or view
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
Good Friday: Trade Date—Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Good Friday,
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registered Representatives
Systems
Trading
Executive Summary
On September 14, 1998, the Securities and Exchange Commission (SEC) approved rule amendments that are designed to integrate transaction information reported to the Automated Confirmation Transaction ServiceSM (ACTSM)
This letter grants an exception to the OATS requirements to submit Cancel/Replace Reports and Route Reports for modifications made by a trader to orders routed to an ECN for handling/execution. Customer modifications to orders are specifically excluded from the interpretation.<br/>
