INFORMATIONAL
Books And Records Rules
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Executive Representatives
Legal & Compliance
Operations
Senior Management
Books and Records
Exchange Act Rule 17a-3
Exchange Act Rule 17a-4
ACTION REQUESTED
Intermarket Surveillance Group1
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Legal & Compliance
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Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a
FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
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Senior Management
Advertising
Corporate Finance
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Registration
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Executive Summary
On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (
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
INFORMATIONAL
Nasdaq National Market Execution System
Effective Date: July 10, 2000
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Institutional
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Systems
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Nasdaq National Market Execution System
SelectNet
Small Order Execution System
Trading
Executive Summary
On January 14, 2000, the Securities and
I am Mary L. Schapiro, President of NASD Regulation, Inc. NASD Regulation, Inc. and our parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify on the securities day-trading industry
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Internal Audit
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Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
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Continuing Education
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Foreign Deferrals
In-Firm
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Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3 Customer protection — reserves and custody of securities.Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-
