NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") to reduce the Level I Trade Report Only Web Browser Access Fee, reduce the Level II Full Service Web Browser Access Fee, and establish a fee for professionals receiving delayed-time TRACE transaction data. In addition, NASD is proposing
Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products)
Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Introducing Broker/Dealer Financial and Operations (Series 28) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a Series
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a Series 27 principal.
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 7000A Series relating to transaction and quotation related fees applicable to activities in the NASD’s Alternative Display Facility ("ADF"). Pursuant to Section 19(b)(3)(A) of the Act and subparagraph (f) of Rule 19b-4 thereunder, the proposed rule change will become immediately effective upon Commission receipt
NASD has filed with the SEC a proposed rule change to NASD Rule 2330(e) to clarify that members and their associated persons are prohibited from guaranteeing any customer against loss in connection with any securities transaction or in any securities account of such customer. In addition, NASD is proposing that associated persons obtain written authorization from their employing member firm and
NASD Regulation, Inc., has filed with the SEC a proposed rule change to make certain changes to the NASDR By-Laws in order to conform the NASD Regulation, Inc. By-Laws to the NASD By-Laws and to increase the maximum size of the NASD Regulation Board. As such, the proposed rule change is immediately effective pursuant to Section 19(b)(3)(A) of the Act.
November 2, 1999
Submitting ROEs via the OATS Web interface is a two-step process of creating, repairing, or correcting the ROE, and then sending it to OATS. Some Order Sending Organizations have been neglecting the second step of actually sending the order data to OATS. Use the following procedure to send order data to OATS after you create or repair them via the OATS Web interface:
Click
Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
