Executive Summary
The NASD announces revisions to the NASD Sanction Guidelines (Guidelines). The Guidelines were published for the first time in May 1993 so that members could become more familiar with the more typical securities industry violations that occur and the disciplinary sanctions that may result. The revisions to the Guidelines reflect recent developments in disciplinary sanctions
April 12, 2002NASDR delayed the implementation of the new "Bunched Order Indicator," which was originally scheduled for inclusion in the April 8, 2002 Order Audit Trail System (OATS) Release. Members will be notified of a later rollout date. The field will remain in the code and is labeled as "Reserved for Future Use" in the OATS Reporting Technical Specifications. When
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b) of the National Association of Securities Dealers, Inc. to: (1) increase the position limits on conventional equity options to three times the basic position limits for standardized equity options on the same security; (2) disaggregate conventional equity options from standardized equity options and FLEX Equity Options for
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") to reduce the Level I Trade Report Only Web Browser Access Fee, reduce the Level II Full Service Web Browser Access Fee, and establish a fee for professionals receiving delayed-time TRACE transaction data. In addition, NASD is proposing
February 12, 2002When a firm electronically routes an order to another firm, the routing firm must pass a Routed Order ID to the firm receiving the order. As defined in the OATS Reporting Technical Specifications, the Routed Order ID is an identifier assigned to an order by the order routing firm when the order is routed. It is the Receiving firm's responsibility to identify, record and
SUGGESTED ROUTING
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Executive Summary
In accordance with
Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
On November 5, 2012, FINRA will release the Securitized Products Dissemination ServiceSM (SPDSSM). The SPDS data feed will be used to broadcast last sale price and other relevant trade data to authorized market data vendors for TRACE-eligible asset-backed , securities (collectively known as securitized products).
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a Series 27 principal.
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 7000A Series relating to transaction and quotation related fees applicable to activities in the NASD’s Alternative Display Facility ("ADF"). Pursuant to Section 19(b)(3)(A) of the Act and subparagraph (f) of Rule 19b-4 thereunder, the proposed rule change will become immediately effective upon Commission receipt
