Staff interpretation of the continuing commissions policy codified in NASD IM-2420.
November 26, 2001Periodically, important messages need to be broadcast to the OATS user community. The quickest medium is the OATS Announcements Page on the OATS Web Interface. The information posted to the OATS Announcement Page is usually urgent and may affect what you can process or see on the Web Site. It is very important that you monitor the OATS Announcements on a daily basis to see the
<p>Requirements of member firms to establish a schedule for and conduct inspections of Offices of Supervisory Jurisdiction and branch offices.<br/></p>
Guidance for Firms Potentially Affected by Hurricane Isaac
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - General Securities Sales Supervisor (Series 9/10) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Investment Company and Variable Contracts Products (Series 6) examination program.
SR-FINRA-2008-043 - Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) for 60 days effective December 31, 2002 and expiring March 1, 2003. The TAF structure as originally proposed in SR-NASD-2002-98 (and sunset in SR-NASD-2002-147) expired on December 31, 2002. Upon expiration of SR-NASD-2002-98, the member regulatory pricing structure was to
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1014 and 1017. The proposed amendments to Rule 1014 would clarify the current standards of membership admission by specifically identifying as a decisional criteria the existence of unpaid arbitration awards or other adjudicated customer awards, as well as pending arbitration claims, and expand the application of Rule 1014 to
NASD has filed with the SEC a proposed rule change to amend subparagraph (i)(9) of Rule 2790 to exclude from the definition of "new issue" securities offerings of a business development company ("BDC"), a direct participation program ("DPP"), and a real estate investment trust ("REIT").
