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Notice to Members 05-22
GUIDANCE Large Options Positions Reports SUGGESTED ROUTING KEY TOPICS Senior ManagementLegal & ComplianceOperationsOptionsSystemsTrading Options Executive Summary As a result of enhancements to the Securities Industry Automation Corporation's (SIAC) Large Options Positions Reporting system, NASD is eliminating the manual reporting of Large Options
Exam Credit and Exam Validity
Per FINRA Rule 1220, individuals are required to pass an appropriate exam or receive a waiver to qualify for a registration category. After passing an exam, the individual must obtain approved status in a corresponding registration category within two years (four years for the SIE) of the exam date to maintain its validity. If an individual does not obtain an approved registration within the two
Advisory Committees
FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Approximately 100 industry members and 30 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.
Notice to Members 05-75
GUIDANCE Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Senior Management Trading IM-3013 (Annual Compliance and Supervision
Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
Notice To Members 93-77
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
Testimony Before the Committee on Banking, Housing and Urban Affairs Hearing on Consolidation of NASD and the Regulatory Functions of the NYSE: Working Towards Improved Regulation
Good afternoon, Chairman Reed, Ranking Member Allard and distinguished Members of the Subcommittee. NASD is grateful for the invitation to testify regarding the regulatory consolidation of NASD and NYSE Member Regulation.
Notice to Members 04-87
INFORMATIONALTrade Date–Settlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade Date–Settlement Date Schedule Martin Luther King, Jr., Day:Trade Date–Settlement Date ScheduleThe Nasdaq Stock Market®
Regulatory Notice 20-22
Summary FINRA Rule 4210 (Margin Requirements) prescribes requirements governing the extension of credit by members. The FINRA Rule 4210 interpretations provide further guidance regarding application of the rule. This Notice announces, effective immediately, clarifications of interpretations of (1) FINRA Rule 4210(e)(8), which specifies margin requirements for control and restricted securities,
Notice to Members 04-62
GUIDANCEDirect CommunicationEffective Date: September 30, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission has approved new Rule 10334 of the NASD Code of Arbitration Procedure to permit direct communication among arbitrators and the parties to the arbitration (through their counsel)