finra CAT

NASD Gets OK to Form Dispute Resolution, Inc.

New Corporation, New Structure NASD Regulation’s Office of Dispute Resolution, which received permission from the SEC to be spun off into a separate subsidiary last fall, has completed the transition. The NASD announced July 17 that a new subsidiary company under the umbrella of the NASD has been established to […]


NASD Rules, Regulations, Clearing Firm Reports

The NASD has proposed rule change which will clearing firms to report certain data to the Department of Member Regulation (“Member Regulation”) on a daily basis, regarding the activities of their own, and their introducing firms. NASD Regulation’s Department of Member Regulation is developing a new business model regarding the […]


NASD Seeking Obsolete Rules

Modernization Project Continues, Suggestions due July 2, 2001 By John M. Baker, Esq. May 18, 2001 – NASD Regulation today gave an update on its review of the NASD rules, began in 1998, to (1) determine if there are obsolete or otherwise unnecessary rules that could be repealed or that […]