SR-FINRA-2009-011 - Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
February 1, 2001Many NASD members have inquired about OATS Written Supervisory Procedures and their responsibilities when using a Reporting Agent, such as a clearing firm or a service bureau, to transmit their OATS data to NASD Regulation.In the December 4, 2000 edition of The OATS Report, an article entitled OATS Written Supervisory Procedures provided guidance on what should be included by
<p>A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).</p>
SR-FINRA-2009-020 - Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
INFORMATIONAL
OATS Limit Order Display Indicator
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Training
Limit Order Display
Order Audit Trail System (OATS)
Executive Summary
The purpose of this Notice is to reiterate to members one of the requirements of the National Association of Securities Dealers, Inc. (NASD®) Rules 6950
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Web IARD
Executive Summary
The 2002 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®)
<p>Application of NASD Rule 2830(l)(5)(D) to sales contests involving sales personnel who perform marketing services.<br/></p>
April 15, 2002
The April 8, 2002 Order Audit Trail System (OATS) Release includes a change in how the Account Type Code field will be handled by OATS. The Account Type Code field is now a required field for any electronically received orders reported by Non-ECN member firms. Those electronically received orders not containing a valid Account Type Code will be rejected with the rejection
Learn about the requirements for submitting your firm’s Form Custody via eFOCUS.
