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)
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3080 (Disclosures to Associated Persons When Signing Form U-4) to correct the reference to the name of the Form U4 (Uniform Application For Securities Industry Registration or Transfer) and the location of the predispute arbitration clause in the Form U4
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/>
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Friday, December 25, 1998, in observance of Christmas Day, and Friday, January 1, 1999, in observance
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to permit the approval of research reports by a supervisory analyst of the New York Stock Exchange to satisfy NASD requirements that research reports be approved by a registered principal.
April 6, 2004
NASD reminds firms that OATS Cancel Reports need not be submitted for Immediate or Cancel ("IOC") or Fill or Kill ("FOK") orders that are not immediately executed. Firms receiving these types of orders are required to include the IOC or FOK special handling code on the OATS New Order or Combined type reports.
An IOC order requires that all or part of the
NASDR has filed with the SEC a proposed rule change to amend Rule 10314 of the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the time to answer an arbitration claim from 20 business days to 45 calendar days and to eliminate extensions of time to answer except in extraordinary circumstances.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the duties
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Direct Participation Programs (Series 22) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better
