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SPECIAL NASA NOTICE TO MEMBERS 9815 NASA Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For OverTheCounter (OTC) Equity Securities; Comment Period Expires February

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What is nasd regulation requests?

NASD Regulation Requests are requests for information or documents issued by the National Association of Securities Dealers (NASD) to firms or individuals under its regulatory jurisdiction.

Who is required to file nasd regulation requests?

Firms or individuals under the regulatory jurisdiction of NASD are required to file NASD Regulation Requests.

How to fill out nasd regulation requests?

NASD Regulation Requests can be filled out by providing the requested information or documents accurately and completely.

What is the purpose of nasd regulation requests?

The purpose of NASD Regulation Requests is to gather information or documents to help NASD in its regulatory oversight and enforcement efforts.

What information must be reported on nasd regulation requests?

Information or documents requested on NASD Regulation Requests may vary depending on the specific request, but typically include details about securities transactions, compliance procedures, and financial information.

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