NASD has filed with the SEC a proposed rule change to amend NASD Rule 1022 to establish certain qualification requirements for supervisors of research analysts. More specifically, the proposed rule change would require supervisors of research analysts to pass the regulatory part (Series 87) of the Research Analyst Qualification Examination or the Series 16 Supervisory Analyst Examination
INFORMATIONALUniform Submission AgreementsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementArbitrationSanctionsUniform Submission AgreementsExecutive SummaryNASD's Code of Arbitration Procedure (Code) requires respondents in NASD arbitrations to serve an answer and an executed Uniform Submission Agreement (USA) at the time the answer to the Statement of Claim is due.
On January 26, 2004, NASD filed with the SEC a proposed rule change for immediate effectiveness that would extend the NASD Alternative Display Facility pilot program until October 26, 2004.
INFORMATIONAL
Locked/Crossed Markets
Effective Date: June 5, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Locked/Crossed Markets
NASD Rule 4613
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of
Continuing Education Planning
The Anti-Money Laundering (AML) Compliance Program section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration
As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:
Email users – must obtain new email encryption certificate and send to a new email address
NASD has filed with the SEC a proposed rule change to extend for nine months the operation of NASD’s Alternative Display Facility ("ADF") on a pilot basis. The ADF pilot program, as approved by the SEC on July 24, 2002, will expire on April 24, 2003. The pilot permits members to quote and trade only Nasdaq-listed securities on or through the ADF. In addition, the proposed rule change
The Commodity Futures Modernization Act of 2000 ("CFMA") lifted the ban on the trading of security futures, i.e., single stock and narrow-based stock index futures ("security futures"). Because they are subject to regulation both as securities and as futures contracts, security futures must be traded on trading facilities and through intermediaries that are registered with
