SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundTradingTraining
Executive Summary
The NASD is publishing this Notice to inform members of the terms and conditions of a Securities and Exchange Commission (SEC) staff no-action letter recently issued to the Chubb Securities Corporation (the Chubb letter), which sets forth the SEC's policy on broker/
December 19, 2002
NASD began posting each member's NASDAQ Execution System Order/Route Matching statistics on the OATS Web interface on November 1, 2002. These statistics reflect the percentage of OATS Route Reports and/or Combined Order/Route Reports with a Routing Method Code of "U" (SuperMontage) or "L" (SelectNet) that OATS was able to link to the related order in
We want more frequent public reporting of short positions and more detail in public reports. The entire market is rigged. Authorities are not doing their job. The public think they are on the side of the hedge funds who have created all these problems and taken advantage of this broken system for decades.
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
INFORMATIONAL
Three Quote Rule
Effective Date: November 24, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Best Execution
NASD Rule 2320
NASD Rule 3110
Trading
Executive Summary
On September 21, 2000, the Securities and Exchange Commission (SEC) approved amendments to National
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
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 7, 1987, 37 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,847. These 37 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
NASDR has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System Rules to December 15, 2000.
NASD has filed with the SEC a proposed rule change to establish NASD Rule 3013 and accompanying Interpretive Material ("IM") 3013 to require each member to designate a chief compliance officer ("CCO") and further require the member’s chief executive officer ("CEO") and CCO to certify annually to having in place a process to establish, maintain, review, modify, and
Do not limit my ability to purchase BITO or XBTF or ETCG or GBTC, etc please. I want to be able to buy any digital asset or crypto asset that are on the market. You don't need to limit my selection. Why I don't need your limitations is because: It Hurts Investors: It denies me the freedom to choose investments that could help me achieve long-term financial security. Is Arbitrary and
