Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
INFORMATIONAL
Reg T And SEC Rule 15c3-3 Reason Codes
Effective Date: February 7, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Regulation T
SEC Rule 15c3-3
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate
Proposed Rule Change to Revise the Series 38 Examination Program
Proposed Rule Change to Revise the Series 37 Examination Program
Proposed Rule Change to Revise the Series 7 Examination Program
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to toll the two-year expiration provisions for qualification examination requirements set forth in Rules 1021(c), 1031(c), and 1041(c) for certain former registered persons serving in the Armed Forces of the United States, including persons who
Effective Date: July 1, 1996
Executive Summary
On March 11, 1996, the Securities and Exchange Commission (SEC) approved an amendment to Section 65 of the NASD Uniform Practice Code (UPC) to require members to transmit customer account transfer instructions electronically. The NASD is amending Section 65 of the UPC to require members that are currently participants in the National Securities
I believe it is critical that FINRA mandate daily reporting of short positions by all members, to include synthetic shares. It is clear that FINRA does not receive accurate updates from its members on the above and that it is having a profound negative effect upon the overall market. Retail perceives FINRA in a negative manner, an organization that does not enforce any of its rules and which
The Series 39 exam — the Direct Participation Programs Principal Qualification Exam (DP) — assesses the competency of an entry-level principal to perform their job as a direct participation programs principal.
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
