REQUEST FOR COMMENT
Supervision Rules
Comment Period Expires: October 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Rule 3010
Supervisory Systems
Executive Summary
NASD requests comment on proposed amendments to Rule 3010 (Supervision) to require members to adopt heightened supervision
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The
FINRA Filing Requirements and Review of Regulation A Offerings
<p>OATS Clock Synchronization Logs – Record Keeping Requirements.</p>
On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives to learn about how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets.
June 21, 2002
NASD will begin providing statistical reports to members for orders electronically routed to a Nasdaq Execution System (NES) for which OATS was not able to match the OATS Route Report to the related NES order (i.e., SuperSOES, SOES, and SelectNet orders). These statistics will be provided on a new report titled the NES Unmatched Route Report that will be available beginning with
April 15, 2002This article reminds member firms how to report changes to previously submitted and accepted data in OATS. Firms should refer to OATS Reporting Technical Specifications, Section 4, Order Reporting Scenarios and Section 6.5, Firm Generated Corrections and Deletions. In a nutshell, cancel and cancel/replace reports should be used to reflect a customer's instruction that an order
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
