NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 3013 and accompanying Interpretive Material 3013 to permit members to designate co-chief executive officers and multiple chief compliance officers to discharge the requirements of those rules.
NASDR has filed with the SEC a proposed rule change to add a new Membership Rule that would provide members of the National Association of Securities Dealers, Inc. with a qualified immunity in arbitration proceedings for statements made in good faith in certain disclosures filed with the NASD on Forms U-4 and U-5, the uniform registration and termination notices for registered persons.
SR-FINRA-2008-008 - A proposed rule change to NASD Rule 1013 to change the manner in which applicants apply for membership
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend its rules to delete the three party trade report provisions from the NASD/NYSE TRF rules and to conform the two party trade
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Training
The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1999:
January 1
New Years Day
January 18
Birthday of Martin Luther King, Jr.(Observed)
February 15
Presidents Day
April 2
Good Friday
May
As of August 1, 2016 firms will no longer be able to download the SOD and EOD files via FTP. Rather, the Start of Day (SOD) and End of Day (EOD) reportable securities lists may be downloaded either by typing the URL(s) for the associated list in one of the supported browsers or via command line.
NASDR has filed with the SEC a proposed rule change to amend the Rule 2300 Series of the NASD Rules to include new Rules 2360 and 2361. The proposed rule change would require a member firm that is promoting a day-trading strategy to furnish a risk disclosure statement to a non-institutional customer prior to opening an account for the customer and either to (1) approve the customer's account
February 12, 2002The next OATS Release is currently scheduled to go into production on Monday, April 8, 2002. The only coding change required is the addition of a Bunched Order Indicator field to the New Order, Cancel/Replace, and Combined Order/Execution Reports. This field will be used to show that an order was bunched upon receipt of the order.Other changes include:
The Account Type Code
