ACTION REQUIRED
Effective Date: January 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal and Compliance
Operations
Senior Management
Systems
Late Payments
Background
Effective January 1, 2004, The Nasdaq Stock Market, Inc. (NASDAQ) will implement a new service termination policy for members, issuers, and other market
October 5, 2000The purpose of this article is to alert NASD members and service bureaus—the providers of the data—that it has come to the attention of the staff that some member firms are incorrectly reporting information to the NASD Order Audit Trail System.Limit Order Display IndicatorThe Limit Order Display Indicator (LODI) is to be used for limit orders and stop limit orders only, and should
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Board of Governors has approved changes to Schedule A of the NASD By-Laws affecting the Central Registration Depository (CRDSM) fee structure. The
Definition
The term artificial intelligence broadly refers to applications of technology to perform tasks that resemble human cognitive function and is generally defined as “[t]he capability of a machine to imitate intelligent human behavior.”6 AI typically involves “[t]he theory and development of computer systems able to perform tasks normally requiring human intelligence, such as
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
I should be able to choose any investment I would like without any special tests or testing. Investing in cryptocurrencies is a very important aspect in the diversification of my investment portfolio.
In June 2007, FINRA (then NASD and NYSE Member Regulation)1 issued for comment proposed guidance regarding the review and supervision of electronic communications. FINRA received 16 comment letters, with a majority of commenters supporting the guidance.
Public investments should be accessible to the public not to a privileged few. The public is capable of understanding their own investments without a need for a test. This will only limit my ability to control my wealth and future well-being and others that dont have access to the test. If you impose these regulations then the government needs to give access to every single person the knowledge
1. Real-time TRACE Data (Vendor Agreement)
Firms wishing to subscribe to either the Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Services (ATDS), Securitized Products Dissemination Service (SPDS), and/or 144A Bond Trade Dissemination Services (144A) must complete and sign the TRACE Vendor Agreement. The executed Agreement should be submitted electronically to:
Comment Period Expires August 1, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide
