NASD has filed with the SEC a proposed change to Rule 9514 to change the composition of the Hearing Panel for proceedings under the Rule 9510 Series in which NASD Regulation seeks to suspend or cancel the membership of a member or the registration of a person for failure to comply with an arbitration award or a settlement agreement related to an NASD arbitration or mediation.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.
June 27, 2003NASD is publishing this article to provide guidance to members regarding their Order Audit Trail System (OATS) reporting requirements when using more than one market participant identifier (MPID) to display or execute OATS reportable orders.1 If a firm elects to use more than one MPID, the firm must continue to submit its OATS data to NASD in the format prescribed in both the OATS
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b) of the National Association of Securities Dealers, Inc. to establish that NASD member firms and their customers shall have the same position and exercise limits for FLEX Equity Options as the firms that are members of the exchange on which such FLEX Equity Options trade.
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 5, 1996. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date *
Apr. 1
Apr. 4
Apr. 9
NASD Regulation, Inc., has filed with the SEC a proposed rule change to require, as part of a subordination agreement, the execution of a Subordination Agreement Investor Disclosure Document ("Disclosure Document").
Executive Summary
The Securities and Exchange Commission (SEC) recently approved two NASD proposals to amend the NASD's options position-limit rule, Article III, Section 33(b)(3) of the NASD Rules of Fair Practice. On January 22, 1996, the SEC approved an NASD proposal to add two new position-limit tiers for option classes overlying equity securities that meet certain criteria for high
September 2, 2004NASD reminds member firms and non-member reporting and transmitting entities to regularly update contact information via the OATS Web Interface. NASD also urges firms to include a valid, working email address as part of the contact information. NASD sends updates concerning OATS via an email push. This email goes to all contacts in the OATS Web Interface that have included a
NASD has filed with the SEC a proposed rule change to require members to create and maintain business continuity plans to use in the event of a significant business disruption. In addition, the proposed rule change would require members to supply NASD with specified information to be used by NASD in the event of future significant business disruptions.
