New Member Applications
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
New Member Applications
Rule 1013
Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform
As of the September 18, 1999 release of OATS, firms may view online and/or download Execution and Combined Order/Execution Reports that do not match trade reports submitted to ACT.
REQUEST FOR COMMENT
Order Audit Trail System
Action Requested By: July 10, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Order Audit Trail System
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members and other interested parties on proposed changes to the OATS
This data provides trade activity for up to 10 years for collateralized mortgage obligations (CMO) quanties under 1 million. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Weekly and monthly reports for CMO quantities
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
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
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
Comment Period Expires July 30, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Application of Suitability and Supervision requirements to recommendations of new variable annuity bonus products to existing variable annuity bonus products customers.
