INFORMATIONAL
Taping Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3010
IM-8310-2
Taping Rule
Executive Summary
On August 28, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3010(b)(2), also known as the Taping Rule, and NASD
SCRA offers a variety of provisions to help active duty personnel meet their legal and financial obligations. But relief under the SCRA is not always automatic.
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 28, 1985, in observance of Thanksgiving Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement Date Schedule For "Regular-
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
Hello I want to suggest a new rule with all financial operations of any kind by any broker is instantly reported, it's 2021 after all - and that all these operations were transparent and public via your websites - with multiple layers of depth so that "new" retail investors like myself could understand the basics easily - and that it would be multiple levels of depth for the more
SUGGESTED ROUTING
Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
Decisions on applications shall be in writing and a copy shall be sent to the National Adjudicatory Council’s Review Subcommittee (as defined in Rule 9120(aa)). If not called for review in accordance with Rule 9760, the Hearing Officer shall issue its decision after being notified by the National Adjudicatory Council’s Review Subcommittee that the decision will not be called for review or upon
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
Many consumers have shifted their banking and investment transactions to the time-saving apps on their phones. But along with convenience, a reliance on mobile devices has attracted scammers looking to steal information and assets. A growing type of fraud exploiting mobile phone usage is known as SIM swapping.
