Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
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September 2, 2004NASD reminds member firms and non-member reporting and transmitting entities to regularly update contact information via the OATS Web Interface. NASD also urges firms to include a valid, working email address as part of the contact information. NASD sends updates concerning OATS via an email push. This email goes to all contacts in the OATS Web Interface that have included a
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
NASD has filed with the SEC a proposed rule change to require members to create and maintain business continuity plans to use in the event of a significant business disruption. In addition, the proposed rule change would require members to supply NASD with specified information to be used by NASD in the event of future significant business disruptions.
Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
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
