June 29, 2001
To ensure OATS works effectively, order data must be reported accurately and timely. The NASD Market Regulation Department recommends the following guidelines to aid member firms in their responsibility to properly report order data to OATS.
Ten Preventive Compliance Tips:
Review the OATS Web interface daily to ensure all files have been accepted.
Review the Web Site
This page contains technical information about filing Regulation T, SEC Rule 15c3-3, and FINRA Rule 4210-related extensions requests using the REX system.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to amend Rule 7010(k)(3)(A)(ii) to offer the ability to receive, for a reduced fee, a "snapshot" of real-time TRACE transaction data ("
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2220 (Options Communications with the Public) to reflect current options communications practices and promote consistency across the options communications rules of other self-regulatory organizations ("SROs").This rule filing was withdrawn and
Test Your SIE Knowledge
Get firsthand experience with a free practice test for the Security Industry Essentials® (SIE®) Exam.
Answer 75 multiple-choice questions that are similar to those you might find on the SIE exam.
Proceed at your own pace. (The practice test is not timed, but you will have 1 hour and 45 minutes to take the SIE exam.)
Get feedback at the end to see what you know and
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2, Trading Ahead of Customer Limit Order ("Manning Rule").
As announced in NASDAQ Head Trader Alert #2007-205, NASDAQ OMX has entered into an agreement to acquire the Boston Stock Exchange and related assets, which includes a second self regulatory organization ("SRO") license. Following SEC approval, NASDAQ OMX intends to use this SRO license to operate a second quote in U.S. equity securities called NASDAQ BX.
