Changes to Qualification Examination Fees
For Your Information
National Association of Securities Dealers, Inc.
April 1989
NASD Releases Interpretive Summaries Under SEC Rule 19c-4
The NASD recently made available summaries of interpretive letters issued under Securities and Exchange Commission Rule 19c-4. That rule prohibits the major securities markets from listing companies that issue securities or take other corporate actions
November 2, 1999Prior to the release of OATS in the test environment on August 23, 1999 and the production environment on September 20, 1999, OATS deviated from its own format specifications by accepting ROE records with an additional ending delimiter.The most recent OATS release now enforces the delimited format, which has been specified in Chapter 5, "Data Reporting Formats," and
April 6, 2004
NASD is publishing this article to remind members of the definition of "electronic order" reportable under the current OATS Phase 2. The general definition of an electronic order is an order that is captured electronically in an order handling/routing or execution system. An order is deemed electronic by how the order ultimately is captured, even if the order initially is
GUIDANCE
Examination Fees
Implemention Date: January 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Examination Fees
Qualification Examinations
Registration
Schedule A to the NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to requests from members concerned about rising costs for comparison of negotiated trades, NASD Market Services, Inc. (MSI) is reducing the previously approved rates for the
On November 8, FINRA, Deloitte and the MIT Fintech Club kicked off an innovative event aimed at leveraging fintech in service of making investors smarter and safer. The Buildathon paired industry technologists and compliance leaders with high performing technology students from MIT, Harvard and other Boston institutions for a hackathon-style competition. Teams competed in one of four challenge
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The NASD Board of Governors requests member comment on rule proposals developed by the Industry/Regulatory Council on Continuing Education (the Council). These proposals codify and expand the conceptual recommendations made by a special task force comprised entirely of industry
Bitcoin is a popular cryptocurrency, which is a form of electronic cash, in which a ledger of all transactions is stored as a blockchain. In this article we will show how to compile your own local copy of the Bitcoin client, run it, and add custom commands in order to inspect various attributes of the underlying blockchain.
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On January 1, 1988, the options regulators will install a revised ROP qualification examination on the PLATO testing network. The revised examination will be expanded to include index, interest rate, and foreign currency option questions. A revised Series 4 study outline incorporating the new material will be available shortly.
