NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 6957(c) to reflect July 10, 2006 as the effective date for the Order Audit Trail System (OATS) reporting requirements for manual orders on an immediately effective basis.
INFORMATIONAL
Nasdaq National Market Execution System
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Systems
Trading & Market Making
Nasdaq National Market Execution System
SelectNet
Small Order Execution System
Trading
Executive Summary
On January 14, 2000, the Securities and
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
INFORMATIONAL
Web-Based Regulatory Applications
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
Forms/Electronic Filing
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
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9100.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with
Alternative Display Facility Documentation
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
87-1
January 6
Martin Luther King, Jr.'s Day: Trade Date-
