REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
CRD
Legal & Compliance
Member Regulation
Operations
Senior Management
Branch Office Definition
Rule Modernization
Rule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed
Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and
Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.
