August 16, 2001NASD Regulation reminds all firms that any order events received on an OATS business day must be reported to OATS by 04:00 Eastern Time (04:00:00 A.M.) the next calendar day. Those reports not received by 04:00 (04:00:00 A.M.) will be marked late.An OATS business day begins the second after the close of the day session of The Nasdaq Stock Market on one market day and ends at the
This filing was withdrawn and replaced by SR-NASD-2006-007.NASD has filed with the SEC a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits, in accordance with volume
Exemptive relief is denied due to a failure of the firm to develop and institute procedures reasonably designed to ensure compliance with Rule G-37.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 10314(a) to provide that, in certain circumstances, parties must complete part of the arbitration claim filing process through the Internet and that, in all circumstances, parties may complete part of the claim filing process through the Internet.
This rule filing was withdrawn and was replaced with SR-NASD-2004-016
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) and Schedule A of the NASD By-laws ("Schedule A") to clarify that a failure to timely file Schedule I, pursuant to Exchange Act Rule 17a-10, is eligible for disposition under NASD’s
Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
NASDR has filed with the SEC a proposed rule change to NASD Interpretive Material 1000-4 to make a technical correction and an amendment to the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") to clarify NASD Regulation's authority to inspect the books and records of The Nasdaq Stock Market, Inc.
Executive Summary
On June 13, 1996, the Securities and Exchange Commission approved amendments to Section 5 of Schedule A to the NASD By-Laws (Schedule A). The amendments delete the interest and dividend exclusion from gross revenue for member assessment purposes. The amendments, however, allow a member to deduct from its gross revenue all interest and dividend expenses but not in excess of
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
The
