GUIDANCE
Exemptive Relief from the OATS Electronic Recording and Reporting Requirements; Enhancements to the OATS Web Interface
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Training
OATS
Rule 6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78
announcing Securities and
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
Supervision Frequently Asked Questions (FAQ)
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
OATS
Rule 6950 Series
Executive Summary
Given the recent significant increase in Order Audit Trail System (OATS) volume, NASD is implementing several changes to the OATS
INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
INFORMATIONAL
Auditor Independence
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Auditor Independence
Executive Summary
In November 2000, the Securities and Exchange Commission (SEC) completed a comprehensive review of outside services that auditors provide to their audit clients, and as a result, amended the
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Registered Representatives
Senior Management
Training
MSRB Rule G-37
Political Contributions
Executive Summary
Since May 1999, NASD Regulation, Inc. (NASD RegulationSM) has considered three requests for exemptive relief
