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OATS PHASE III -Differences between Reporting Member Exclusion and Exemptive Relief from the OATS Reporting Requirements
January 18, 2006 NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957. On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
Notice to Arbitrators and Parties on Expanded Expungement Guidance
Notice to Arbitrators and Parties on Expanded Expungement Guidance
Notice to Members - February 1999
Various updates.
SEA Rule 15c3-1f Appendix F and Related Interpretations
Publication Date: February 23, 2023 Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1). 15c3-1f(a) Application Requirements An OTC derivatives dealer may apply to the Commission for authorization to compute capital charges for market and
Regulatory Notice 08-67
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Notice to Members 02-53
NASD Rule 3070 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management NASD Rule 3070 NASD Rule 2110 Executive Summary NASD has undertaken two initiatives to improve the quality and flow of information to it about allegations of broker misconduct. First, on August 14, 2002, NASD filed with the Securities and Exchange Commission (SEC) a
Notice to Members October 1998
Year 2000 Update
Notice To Members 95-74
SUGGESTED ROUTING Senior Management Advertising Government Securities Legal & Compliance Executive Summary On August 9, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 35 of the NASD® Rules of Fair Practice and Section 8 of the Government Securities Rules (collectively, the Rules) to broaden the definitions of, and revise the
Annual Renewal Program
Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.
Notice to Members 98-07
Effective Date: April 1, 1998 SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Operations Systems Trading Executive Summary Effective April 1, 1998, foreign equities and American Depositary Receipts (ADRs) that are not registered with the Securities and Exchange Commission (SEC) under Section 12 of the Exchange Act will no longer be