Correction - On page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES should read: The SOES rules currently contain a specific provision, NASD Rule 4720(c)(4), that requires SOES order entry firms to maintain the physical security of Nasdaq equipment located on the premises of the firm to prevent unauthorized entry of information into SOES.
Executive SummaryOn October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to reduce the TAF rate for covered equity securities, reduce the maximum per trade charge on covered equity securities, and assess the TAF on corporate debt securities that, under the Trade Reporting and Compliance Engine (TRACE)
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INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsEffective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale OrdersExecutive SummaryThe Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "
GUIDANCE
NASD Code of Arbitration Procedure
Mediation Rules
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Code of Arbitration Procedure
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a
proposed rule change to revise the mediation rules of the NASD
Code of Arbitration Procedure (Code) to simplify the language and
to reorganize
REQUEST FOR COMMENTMinor Rule Violation Plan and Inactive Disclosure Review Registration StatusComment Period Expired April 19, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementArticle V, Section 2 of the NASD By-LawsArticle V, Section 3(a) of the NASD By-LawsCentral Registration Depository (CRD® or Web CRD)IM-
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
May 2010 Supplement to the Options Disclosure Document
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
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).
