Does nasnasd rule 3010 supersede FINRA Rule 3110?
NASD Rule 3010 has been superseded by FINRA Rules 3110 and 3170. Please consult the appropriate FINRA Rules.
What are the responsibilities of a member of the NASD?
Each member shall establish and maintain a system to supervise the activities of each registered representative, registered principal, and other associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable NASD Rules.
How do I apply for an exemption from NASD Rule 9600?
A member seeking an exemption must file a written application pursuant to the Rule 9600 Series within 30 days after receiving notice from NASD or obtaining actual knowledge that it meets one of the criteria in paragraph (b) (2) (H).
When must a member provide the Department of member regulation with notice?
On or prior to reducing staffing levels pursuant to this paragraph, a member must provide the Department of Member Regulation, NASD with written notice, identifying the terminated person (s).