To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
NEW FOR 2023
Cybersecurity and Technology Governance
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading NEW FOR 2023
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How to Use the Report
Up:
Financial Crimes
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Cybersecurity and Technology Governance
Outside Business Activities and Private Securities Transactions
Books and Records
Regulatory Events Reporting
Firm Short Positions and Fails-to-Receive in Municipal Securities
Trusted Contact Persons
Funding Portals and Crowdfunding Offerings
Previous:
Manipulative Trading
Up:
Firm Operations
Next:
Outside Business Activities and Private Securities Transactions
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:
Funding Portals and Crowdfunding Offerings
Up:
Communications and Sales
Next:
Reg BI and Form CRS
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information
Fixed Income – Fair Pricing NEW FOR 2023
Fractional Shares: Reporting and Order Handling NEW FOR 2023
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades NEW FOR 2023
Previous:
Variable Annuities
Up:
Market Integrity
Next:
Consolidated Audit Trail (CAT
Net Capital
Liquidity Risk Management
Credit Risk Management
Portfolio Margin and Intraday Trading
Segregation of Assets and Customer Protection
Previous:
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades
Up:
Financial Management
Next:
Net Capital
Regulatory Obligations and Related Considerations
Regulatory Obligations
Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes requirements on member firms that are designed to protect customer funds and securities. Member firms are obligated to maintain custody of customers’ fully paid and excess margin securities, safeguard customer cash by segregating these assets from the firm’s
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Executive Summary
On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
Comment Period Expires: July 15, 1997
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Training
Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that
