Market Regulation Compliance Report Cards
On September 24, 1998, staff of the Market Regulation Department (Market Regulation) of NASD Regulation began making available quantitative reports for each NASD member firm concerning its compliance with trade reporting, firm quote, and best execution. The reports are being provided to firms as a compliance aid to assist them in ensuring that they are
Important Information Regarding Annual Audited Report
Under Securities and Exchange Commission (SEC) Rule 17a-5, NASD members must file with NASD an Annual Audited Report not more than 60-calendar days after the date selected for their fiscal year end.
For the convenience of member firms, NASD has posted information to the Regulation section of the NASD Web Site listing essential information
Y2K Testing Not Required For Legacy CRD And PC FOCUS
Due to the availability of the new Web Central Registration Depository (CRDSM) system and Web-Based FOCUS filing system, the National Association of Securities Dealers, Inc. (NASD®) does not require Year 2000 testing of their predecessor systems - Legacy CRD and PC FOCUSSM. The new systems - Web CRD and Web-Based FOCUS - have successfully
Summary
FINRA’s Digital Experience Transformation is changing the way that firms and their personnel access and interact with FINRA’s systems and complete their compliance and regulatory tasks. This Information Notice highlights near-term changes to the manner in which firms and their personnel access, and interact with, FINRA’s registration and continuing education applications and provides
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over
For Your Information
National Association of Securities Dealers, Inc.
October 1989
Three NASD District Offices to Hold Major Conferences This Month
Three NASD offices — Districts 5, 8, and 13 - will sponsor major conferences this month.
District 5
The District 5 annual membership meeting and conference, co-sponsored with Tulane Law School, will be Friday, October 6, at the Windsor Court
For Your Information
National Association of Securities Dealers, Inc.
November 1989
NASD Files Lawsuit Charging Misuse of Qualification Examination
The NASD filed a lawsuit in the United States District Court for the Northern District of Illinois against Jerry Keith Ostry and North American Chicago Corp. (NACC) for copyright infringement, breach of contract, and misappropriation and misuse of
Summary
As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices.
This alert provides firms and associated persons with measures they may use to help strengthen their cybersecurity controls in
For Your Information
Financial Payments
On Monday, June 25, 2001, NASD Regulation implemented new addresses for all financial payments—including payments to CRD/IARD. The new P.O. Box will facilitate more timely automated processing of payments and is the primary address to which your firm sends all checks/payments via regular delivery. Please note that the P.O. Box for regular delivery
NASD Regulation Delays Implementation Date Of Phase III Of OATS From October 31, 2000 To December 15, 2000
On August 30, 2000, NASD Regulation, Inc. (NASD RegulationSM ) filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule proposal that extends the implementation date of Phase III of the Order Audit Trail System (OATSSM) to December 15, 2000. As provided
