NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Direct Participation Programs (Series 22) 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 direct participation
NASD has filed with the SEC a proposed rule change to: (1) amend Schedule A of the NASD By-Laws to sunset the Trading Activity Fee ("TAF") established in SR-NASD-2002-98, terminating on December 31, 2002; and (2) correct language in Section 2 that was mistakenly referenced in SR-NASD-2002-98. NASD is sunsetting the changes made in SR-NASD-2002-98 in response to member comment asserting
Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds
The Report Center provides firms with secure access to data and reports designed to support their compliance activities.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt a new Rule 3150 to require all members that are clearing firms to report certain data to the NASD Regulation Department of Member Regulation on a daily basis.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rules 11870(c) and 11870(d) to expedite the transfer of customer accounts that contain proprietary or third party products (e.g., mutual funds or money market funds) that the receiving member cannot receive or carry.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to the NASD Code of Arbitration Procedure to provide default procedures for situations in which a suspended, terminated or otherwise defunct member or associated person fails to answer or participate in an arbitration proceeding, and the claimant nevertheless elects to
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Direct Participation Programs (Series 39) 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 direct participation
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
