TO: All NASD Members
On September 7, 1984, the Securities and Exchange Commission ("Commission" or "SEC") approved amendments to the Association's Code of Arbitration Procedure. These rule changes will be effective on October 1, 1984. A summary of the major provisions and the text of the rule changes follows.
The amendments are intended to conform the provisions of the
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
TO: All NASD Members
Enclosed herewith are proposed amendments to the Association's Uniform Practice Code ("Code") which were approved by the Board of Governors at its November 19, 1982, meeting. The amendments are being submitted to the membership for comment. After the comment period has expired, the Board of Governors will again review the proposal taking into consideration the
Negative response letters may be used to change the broker-dealer of record for customers' "direct application" mutual fund and variable annuity accounts in situations involving the acquisition or merger of a member firm, where the acquiring or surviving entity is the legal successor-in-interest to the member firm.
The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports.
On this page you will find information on eligibility, the BrokerCheck Dispute Form and instructions on how to submit a dispute.
Who Can Submit a Dispute?
Any current or former FINRA
As referenced in FINRA's Annual Priorities Letter, conflicts of interest represent a recurring challenge that contribute to compliance and supervisory breakdowns which can lead to firms and registered representatives, at times, compromising the quality of service they provide to clients.
April 6, 2004
NASD is publishing this article to remind members of the definition of "electronic order" reportable under the current OATS Phase 2. The general definition of an electronic order is an order that is captured electronically in an order handling/routing or execution system. An order is deemed electronic by how the order ultimately is captured, even if the order initially is
October 21, 2002NASD Provides Updated Guidance on OATS Reporting Responsibilities for Orders Executed in a Riskless Principal Capacity by Both Non-market Makers and Market Makers.BackgroundPursuant to NASD Marketplace Rules 6954(d) and 6955, all member firms must record and transmit to the Order Audit Trail System (OATS) specified information about, among other things, the execution of customer
Once retired, you may have questions about the future—particularly about how your spouse and family will cope financially if you become disabled or die and what will happen to the assets in your estate after your death. These valid concerns underscore the importance of sound long-term retirement planning.
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Last Voting Date: February 10, 2003
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NASD By-Laws
Non-Payment of Arbitration Awards
Definition of "Disqualification
